Valerie M. Peck
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.
Valerie Marie Peck, who also goes by Valerie Marie Headrick, Valerie Marie Weber, Valerie Weber, was a registered financial professional .
Valerie is a previously registered financial professional and started their career in finance in 1987. Valerie had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 15, 2017 - December 21, 2017
SCOTTRADE INVESTMENT MANAGEMENT
August 26, 1998 - December 21, 2017
SCOTTRADE, INC.
December 16, 1997 - May 11, 1998
CHARLES SCHWAB & CO., INC.
April 14, 1992 - May 7, 1996
CHARLES SCHWAB & CO., INC.
May 21, 1987 - April 6, 1992
UNIFIED FINANCIAL SECURITIES, LLC
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 8
Date: 1/17/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SCOTTRADE INVESTMENT MANAGEMENT
CRD#: 169988 / SEC#: 801-79217
Contact information
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.
