Juan A. Bao
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.
Juan Antonio Bao, who also goes by John Antonio Bao, Juan Tony Bao, was a registered financial professional .
Juan is a previously registered financial professional and started their career in finance in 2000. Juan had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 11, 2015 - March 14, 2016
VALDES & MORENO, INC.
September 20, 2011 - October 12, 2012
DAUTRICH, SEILER FINANCIAL SERVICES, INC.
January 10, 2007 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
January 10, 2007 - October 10, 2009
MSI FINANCIAL SERVICES, INC.
March 31, 2006 - November 28, 2006
C. J. LEDONE EQUITIES, INC.
October 1, 2000 - March 1, 2006
M & J 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 25
Date: 12/7/1999
NYSE Trading Assistant ExaminationCurrent Firm
VALDES & MORENO, INC.
CRD#: 37560 / SEC#: , 8-47810
Contact information
FINRA licenses (5 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LISTROM, MARCO REID | PRESIDENT & CHIEF COMPLIANCE OFFICER | 310764 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
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.
