Felicitas Varela
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.
Felicitas Varela, who also goes by Felicia Mena, Felicitas Mena Varela, was a registered financial professional .
Felicitas is a previously registered financial professional and started their career in finance in 1985. Felicitas had worked at 10 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 8, 2012 - December 5, 2012
NATIONAL PLANNING CORPORATION
June 7, 2010 - December 22, 2010
KOVACK SECURITIES INC.
June 1, 2010 - December 22, 2010
KOVACK ADVISORS, INC.
April 25, 2006 - June 4, 2008
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
April 28, 2003 - June 4, 2008
TD AMERITRADE, INC.
March 3, 1999 - June 4, 2008
TD AMERITRADE, INC.
September 11, 1998 - November 10, 1998
UBS FINANCIAL SERVICES INC.
May 30, 1992 - August 26, 1998
BA INVESTMENT SERVICES, INC.
January 22, 1990 - June 30, 1992
CAPITAL BROKERAGE CORPORATION
October 21, 1986 - October 3, 1989
INVEST FINANCIAL CORPORATION
September 23, 1985 - November 5, 1986
UR FINANCIAL, 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
Current Firm
NATIONAL PLANNING CORPORATION
CRD#: 29604 / SEC#: 801-41015, 8-44435
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SVP/CFO- NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT AND CEO OF NATIONAL PLANNING HOLDINGS, INC.; DIRECTOR | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL AND SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| JOHNSON, JOHN CHARLES | PRESIDENT/CEO/DIRECTOR | 2079852 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP/FINOP CONTROLLER | 4800775 |
| MARTINEZ, WENDY TAMIE | SVP OPERATIONS | 2668422 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS | 1955960 |
| STONE, JEREMY MICHAEL | VICE PRESIDENT COMPLIANCE | 5000139 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
| Bond | 1 |
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.
