Gerard P. Valles
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.
Gerard Paul Valles was a registered financial professional .
Gerard is a previously registered financial professional and started their career in finance in 1989. Gerard had worked at 10 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
October 29, 2012 - October 4, 2016
QUATTRO M SECURITIES INC.
July 10, 2007 - October 26, 2012
PRIME EXECUTIONS, INC.
May 31, 2007 - July 9, 2007
LIPARI PARTNERS INC.
November 27, 2006 - May 17, 2007
PERSHING LLC
October 1, 2000 - November 30, 2006
SUNGARD GLOBAL EXECUTION SERVICES LLC
September 3, 1999 - December 1, 1999
EMPIRE EXECUTIONS, INC.
February 22, 1993 - April 22, 1998
FLEET CLEARING CORPORATION
December 12, 1992 - February 16, 1993
FLEET BROKERAGE SECURITIES, INC.
February 26, 1991 - March 25, 1993
FINANCIAL SQUARE PARTNERS
March 22, 1989 - June 26, 1989
CHALLENGE 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: 3/30/1999
NYSE Trading Assistant ExaminationCurrent Firm
QUATTRO M SECURITIES INC.
CRD#: 39289 / SEC#: , 8-48629
Contact information
FINRA licenses (15 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
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