VB
Valerie V. Ballesteros
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CRD#: 1836984
VB
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 Vargas Ballesteros, who also goes by Valerie Jean Vargas, was a registered financial advisor .
Valerie is a previously registered financial advisor and started their career in finance in 1988. Valerie had worked at 14 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Valerie Jean Vargas
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
December 17, 2014 - January 13, 2015
INVESTMENT PROFESSIONALS, INC.
BD
CRD#: 30184
SAN ANTONIO, TX
Past
August 1, 2013 - August 26, 2013
SCOTTRADE, INC.
BD
CRD#: 8206
SAN ANTONIO, TX
Past
December 19, 2012 - July 9, 2013
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
SAN ANTONIO, TX
Past
October 4, 2012 - July 9, 2013
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
SAN ANTONIO, TX
Past
March 19, 2012 - May 8, 2012
PNC MANAGED ACCOUNT SOLUTIONS, INC.
RIA
CRD#: 110476
SAN ANTONIO, TX
Past
March 7, 2012 - May 8, 2012
BBVA COMPASS INVESTMENT SOLUTIONS, INC
BD
CRD#: 17086
SAN ANTONIO, TX
Past
May 27, 2011 - November 30, 2011
RIVERSTONE WEALTH MANAGEMENT, INC.
RIA
CRD#: 40418
SAN ANTONIO, TX
Past
May 27, 2011 - November 30, 2011
RIVERSTONE WEALTH MANAGEMENT, INC.
BD
CRD#: 40418
SAN ANTONIO, TX
Past
July 23, 2002 - June 1, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SAN ANTONIO, TX
Past
July 15, 2002 - June 1, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SAN ANTONIO, TX
Past
January 12, 2000 - July 1, 2002
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
WAVERLY, IA
Past
November 28, 1997 - October 29, 1998
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
November 28, 1997 - October 29, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
June 14, 1996 - August 8, 1996
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
June 8, 1995 - June 23, 1995
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
Past
July 16, 1993 - June 23, 1995
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
Past
August 12, 1992 - October 13, 1992
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
Past
March 5, 1992 - July 17, 1992
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
APPLETON, WI
Past
June 21, 1988 - April 9, 1990
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
June 21, 1988 - April 9, 1990
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
IP
INVESTMENT PROFESSIONALS, INC.
ACCESS INVESTMENT SERVICES | TNB FINANCIAL SERVICES | TEXAS COUNTRY INVESTMENT PROFESSIONALS | TCB INVESTMENT PROFESSIONALS | SUSSEX INVESTMENT SERVICES | STATEWIDE INVESTMENT PROFESSIONALS | SSB INVESTMENT PROFESSIONALS | SOUTHERN INVESTMENT PROFESSIONALS | SOUTHERN FINANCIAL SERVICES | SMB INVESTMENT PROFESSIONALS | SECURITY FINANCIAL GROUP | SEAWAY FINANCIAL SERVICES | SCHERTZ FINANCIAL SERVICES | SAIDIS ASSET MANAGEMENT | S&T FINANCIAL SERVICES | RIO INVESTMENT PROFESSIONALS, INC. | RIO INVESTMENT PROFESSIONALS | RELIANCE INVESTMENT PROFESSIONALS | RCB FINANCIAL SERVICES | QUEENSBOROUGH INVESTMENT PROFESSIONALS | QNB FINANCIAL SERVICES | PRUITT WEALTH AND ADVISORY SOLUTIONS, LLC | PREMIER INVESTMENT SERVICES | PLAZA INVESTMENT SERVICES | PLATINUM ON WALL STREET | PEOPLES INVESTMENT PROFESSIONALS | PBA INVESTMENT SERVICES | OSWEGO COMMUNITY INVESTMENT SERVICES | NORTHWEST COMMUNITY INVESTMENT SERVICES | NORTHSTAR INVESTMENT PROFESSIONALS | NORTH VALLEY INVESTMENT PROFESSIONALS | NORTH COMMUNITY INVESTMENT SERVICES | MUTUAL INVESTMENT PROFESSIONALS | MOUNTAIN VALLEY INVESTMENT SERVICES | MOODY INVESTMENTS | MONTICELLO WEALTH MANAGEMENT | METROPOLITAN INVESTMENT SERVICES | METROPOLITAN INVESTMENT PROFESSIONALS | MARTHA'S VINEYARD SECURITIES | MARQUIS INVESTEMENT SERVICES | LONE STAR TRUST & INVESTMENTS | LONE STAR INVESTMENT PROFESSIONALS | LNB COMMUNITY INVESTMENT PROFESSIONALS | LINTON FINANCIAL, LLC | LIBERTY INVESTMENT PROFESSIONALS | LEGACY INVESTMENT PROFESSIONALS | IPI TRUST SERVICES | IPI LIFE & ANNUITY | IPI ADVICE & PLANNING SERVICES | IPI | INVESTMENT SERVICES AT KENTUCKY BANK | INVESTMENT PROFESSIONALS, INC. | INVESTMENT CENTRE AT EASTERN BANK | INDEPENDENCE FINACIAL SERVICES | HUNTINGDON VALLEY INVESTMENT PROFESSIONALS | HOME FINANCIAL SERVICES | HILLTOP INVESTMENT PROFESSIONALS | HIGH COUNTRY INVESTMENT PROFESSIONALS | HERITAGE INVESTMENT PROFESSIONALS | HCSB INVESTMENT PROFESSIONALS | HCB INVESTMENT CENTER | GREAT PLAINS INVESTMENT PROFESSIONALS | GBT INVESTMENT PROFESSIONALS | FSB WEALTH MANAGEMENT | FRONTIER INVESTMENT PROFESSIONALS | FRANKEWING INVESTMENT PROFESSIONALS | FNBC FIRST INVESTMENT PROFESSIONALS | FIRST STATE INVESTMENT PROFESSIONALS | FIRST NATIONAL INVESTMENT PROFESSIONALS OF HOPE | FIRST NATIONAL INVESTMENT PROFESSIONALS | FIRST INVESTMENT SERVICES | FIRST INVESTMENT PROFESSIONALS | FIRST FARMERS INVESTMENT SERVICES | FIRST COMMERCIAL INVESTMENT SERVICES | FIRST CLASS AMERCIAN INVESTMENT SERVICES | FIRST BRECKINRIDGE INVESTMENTS | FIRST ARKANSAS INVESTMENT PROFESSIONALS | FARMERS INVESTMENT PROFESSIONALS | FARMERS AND MERCHANTS INVESTMENT PROFESSIONALS | EVANS AND ASSOCIATES | EMP GROUP | EDGARTOWN INVESTMENT PROFESSIONALS | EDENS INVESTMENT SERVICES | ECLIPSE FINANCIAL GROUP | EASTERN MICHIGAN INVESTMENT SERVICES | EAST BOSTON INVESTMENT SERVICES | DSA FINANCIAL GROUP | DESTINY FINANCIAL | CUSTOMERS INVESTMENT SERVICES | CURRITUCK INVESTMENT PROFESSIONALS | CSB INVESTMENT SERVICES | CORNERSTONE INVESTMENT PROFESSIONALS | COMMUNITY INVESTMENT PROFESSIONALS | COMMUNITY FINANCIAL PLANNING | COMMUNITY BANK OF DUPAGE INVESTMENT SERVICES | COMMERCIAL INVESTMENT PROFESSIONALS | COMMERCE PROFESSIONALS INVESTMENT | COMMERCE INVESTMENT PROFESSIONALS | COBLE WEALTH MANAGEMENT | CNB FINANCIAL SERVICES | CLINTON INVESTMENT SERVICES | CLEAR MOUNTAIN INVESTMENTS | CITIZENS COMMUNITY INVESTMENT SERVICES | CHICAGO COMMUNITY INVESTMENT SERVICES | CENTRAL INVESTMENT SERVICES | CENTENNIAL FINANCIAL SERVICES | CAWTHORNE FINANCIAL GROUP | CASHMERE VALLEY WEALTH MANAGEMENT | CAROLINA PREMIER INVESTMENTS | CARLISLE & GUTHRIE WEALTH MANAGEMENT | CANYON INVESTMENT PROFESSIONALS | BRENHAM INVESTMENT PROFESSIONALS | BRANSON INVESTMENT PROFESSIONALS | BLUEGRASS INVESTMENT PROFESSIONALS | BLUE WATER FINANCIAL SERVICES | BALLY FINANCIAL | BADGER INVESTMENT PROFESSIONALS | B.O.M. FINANCIAL SERVICES | AVENUE INVESTMENT PROFESSIONALS | AUB INVESTMENT PROFESSIONALS | ARCHER INVESTMENT SERVICES | ANCORA WEALTH MANAGEMENT | AMERICAN INVESTMENT PROFESSIONALS | AMERICAN DREAM INVESTMENTS | ALLEGIANCE COMMUNITY INVESTMENT SERVICES...
CRD#: 30184 / SEC#: 801-67704, 8-44786
BD
Terminated by SEC on 12/01/2018
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Contact information
Main Address
16414 San Pedro Avenue Suite 300, San Antonio, TX 78232
Mailing Address
Phone number
Established
Texas since 03/16/1992
Firm type
Corporation
Fiscal year end
December
# of Employees
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 16 |
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.
