Deborah H. Valenzuela
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.
Deborah Haller Valenzuela, who also goes by Deborah C Haller, Deborah Colleen Haller, Deborah Colleen Valenzuela, Deborah H Valenzuela, was a registered financial professional .
Deborah is a previously registered financial professional and started their career in finance in 1986. Deborah had worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 52, Series 4, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 7, 2016 - September 5, 2023
U.S. BANCORP ADVISORS, LLC
April 6, 2016 - September 5, 2023
U.S. BANCORP ADVISORS, LLC
March 21, 2013 - April 6, 2016
WELLS FARGO CLEARING SERVICES, LLC
March 5, 2013 - April 6, 2016
WELLS FARGO CLEARING SERVICES, LLC
October 1, 2012 - March 15, 2013
J.P. MORGAN SECURITIES LLC
October 1, 2012 - March 15, 2013
J.P. MORGAN SECURITIES LLC
January 22, 2007 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
January 3, 2007 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
September 28, 2006 - January 5, 2007
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
February 9, 2006 - July 12, 2006
INVESTORS BROKERAGE SERVICES, INC.
July 6, 2005 - February 14, 2006
CHASE INVESTMENT SERVICES CORP.
July 6, 2005 - February 14, 2006
CHASE INVESTMENT SERVICES CORP.
September 6, 2002 - July 6, 2005
BANC ONE SECURITIES CORPORATION
July 16, 1998 - July 6, 2005
BANC ONE SECURITIES CORPORATION
May 8, 1997 - July 14, 1998
BANKOH INVESTMENT SERVICES, INC.
August 8, 1995 - August 7, 1996
FIRST INTERSTATE INVESTMENTS,INC.
July 20, 1993 - November 17, 1995
ESSEX NATIONAL SECURITIES, LLC
June 17, 1992 - July 28, 1993
PRUDENTIAL EQUITY GROUP, LLC
August 24, 1990 - June 6, 1992
BANC ONE ARIZONA INVESTMENT SERVICES CORPORATION
December 26, 1986 - March 16, 1988
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
U.S. BANCORP ADVISORS, LLC
CRD#: 14455 / SEC#: 801-70084, 8-30706
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
U.S. BANCORP ADVISORS, LLC
CRD#: 14455 / SEC#: 801-70084, 8-30706
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| U.S. BANCORP | SOLE MEMBER | |
| BEJASA, EILEEN | SENIOR VICE PRESIDENT AND MANAGING DIRECTOR, BROKER-DEALER OPERATIONS | 7002808 |
| CANEVA, DANIEL CESAR | SVP CHIEF OPERATIONS OFFICER | 1686099 |
| CLARK, SHANNON KEITH | CHIEF FINANCIAL OFFICER | 5829700 |
| ELY, JAMES EUGENE JR. | SENIOR VICE PRESIDENT - SALES | 1843373 |
| FERGUSON, KIMBERLY NICOLE | CHIEF EXECUTIVE OFFICER AND MANAGER | 4120145 |
| LAWLOR, BETH DEDRICK | EXECUTIVE VICE PRESIDENT | 5352662 |
| ROLLAND, JODI THOMPSON | MANAGER | 2290884 |
| SALSTROM, KYLE NORMAN | CHIEF COMPLIANCE OFFICER | 5025315 |
| TRIPLETT, SHANE T | INSTITUTIONAL SALES MANAGER | 1865319 |
Regulatory assets under management
| Total Number of Accounts | 3,905 |
| AUM (Assets Under Management) | $ 1,516,483,817 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/19/2025 | ||
| 08/20/2024 | ||
| 11/28/2023 | ||
| 11/21/2023 |
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.
