Emilio J. Valdes
Professional summary
Emilio Javier Valdes was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Emilio Javier Valdes, who also goes by Emilio J Valdes, Emilio Jauier Valdes, was a registered financial advisor .
Emilio is a previously registered financial advisor and started their career in finance in 1990. Emilio had worked at 10 firms and has passed the Series 65, Series 63 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
December 17, 2010 - October 26, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 18, 2008 - October 26, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 1, 2008 - January 24, 2008
WELLS FARGO CLEARING SERVICES, LLC
February 20, 1998 - January 3, 2008
A. G. EDWARDS & SONS, INC.
July 29, 1996 - March 3, 1998
CHASE INVESTMENT SERVICES CORP.
May 21, 1996 - July 22, 1996
FISERV INVESTOR SERVICES, INC.
May 1, 1996 - August 14, 1996
SUMMIT FINANCIAL SERVICES GROUP, INC.
March 4, 1996 - May 1, 1996
UJB DISCOUNT BROKERAGE CO.
July 10, 1992 - March 21, 1994
FIRST MONTAUK SECURITIES CORP.
February 6, 1992 - June 4, 1992
CIBC WORLD MARKETS CORP.
April 16, 1991 - August 12, 1991
FIRST INTERREGIONAL EQUITY CORP.
July 30, 1990 - April 1, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
