Michael C. Valdez
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.
Michael Carlos Valdez, AIF®, CFP®, who also goes by Mike Carlos Valdez, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1984. Michael had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2002
Experience
December 9, 2019 - May 12, 2025
LPL FINANCIAL LLC
December 4, 2019 - May 12, 2025
LPL FINANCIAL LLC
September 7, 2016 - December 12, 2019
CETERA ADVISORS LLC
September 6, 2016 - December 12, 2019
CETERA ADVISORS LLC
May 9, 2012 - September 14, 2016
WILBANKS SECURITIES ADVISORY
February 29, 2012 - September 14, 2016
WILBANKS SECURITIES, INC.
April 17, 2003 - March 7, 2012
KESTRA INVESTMENT SERVICES, LLC
April 1, 2003 - March 7, 2012
KESTRA INVESTMENT SERVICES, LLC
September 25, 2002 - September 25, 2003
PAN-AMERICAN INVESTMENT ADVISERS, INC.
August 2, 2002 - April 2, 2003
PAN-AMERICAN FINANCIAL ADVISERS
August 29, 2001 - July 31, 2002
WALNUT STREET ADVISERS INC
January 11, 2000 - July 29, 2002
WALNUT STREET SECURITIES, INC.
February 14, 1996 - December 31, 1999
WALNUT STREET SECURITIES, INC.
July 27, 1994 - February 15, 1996
PRINCIPAL SECURITIES, INC.
October 6, 1986 - July 14, 1994
VERAVEST INVESTMENTS, INC.
March 5, 1985 - December 20, 1985
TITAN/VALUE EQUITIES GROUP, INC.
February 27, 1984 - March 8, 1985
LOCUST STREET SECURITIES, INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
Current Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
