Ivan A. Claudio
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.
Ivan Antonio Claudio, who also goes by IVan A Claudio, Ivan Claudio, Ivan A Claudio VIllamil, Ivan Claudio Villamil, was a registered financial professional .
Ivan is a previously registered financial professional and started their career in finance in 1986. Ivan had worked at 8 firms and has passed the Series 65, Series 63, SIE 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
March 1, 2018 - April 12, 2018
NATIONWIDE PLANNING ASSOCIATES INC.
February 28, 2018 - February 28, 2018
NPA ASSET MANAGEMENT, LLC
March 16, 2016 - March 2, 2018
AEGIS CAPITAL CORP.
March 15, 2016 - March 2, 2018
AEGIS CAPITAL CORP.
March 23, 2010 - February 17, 2016
SANTANDER SECURITIES LLC
December 12, 1997 - February 17, 2016
SANTANDER SECURITIES LLC
June 29, 1993 - December 15, 1997
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO
June 16, 1993 - December 15, 1997
UBS FINANCIAL SERVICES INC.
August 30, 1988 - July 13, 1993
LEHMAN BROTHERS INC.
November 28, 1986 - September 13, 1988
DREXEL BURNHAM LAMBERT INCORPORATED
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
NATIONWIDE PLANNING ASSOCIATES INC.
CRD#: 31029 / SEC#: , 8-45310
Contact information
FINRA licenses (48 States and Territories)
Disclosures
| Regulatory Event | 3 |
| 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.
