Vincent Valk
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Vincent Valk was a registered financial professional .
Vincent is a previously registered financial professional and started their career in finance in 1984. Vincent had worked at 3 firms and has passed the Series 63 and Series 18 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 14, 1985 - June 14, 1985
TRAUBNER BACH CO., INC.
May 15, 1984 - December 10, 1984
S. D. COHN & CO.
January 19, 1984 - April 12, 1984
DANIEL BRINKMAN INVESTMENT SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 18
Date: 11/19/1983
Securities Industry Rules and Regulations ExaminationCurrent Firm
TRAUBNER BACH CO., INC.
CRD#: 14368 / SEC#: , 8-4402
Contact information
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
