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Vladimir J. Carvallo

Some features on this profile are disabled
CRD#: 2184457
VC

Professional summary

Vladimir Jaime Carvallo was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Vladimir is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Vladimir had worked at 11 firms, which includes NEUTRAL SWITCH INC., MORGAN GRANT CAPITAL CORP., SCHNEIDER SECURITIES INC., ALLIANCE ASSET GROUPINC., LEGEND MERCHANT GROUP INC., JARON EQUITIES CORP., INVESTORS ASSOCIATES INC., GRUNTAL & CO. L.L.C., BERKELEY SECURITIES CORPORATION, J. GREGORY & COMPANY INC., CHATFIELD DEAN & CO. INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Vadimir Jaime Carvallo | Vlad Carvallo | Vladimar Carvallo | Vladimie J Carvallo | Vladimir J Carvallo

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.

Blog Corner

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®
None

Experience

Past

July 26, 1999 - August 3, 2000

NEUTRAL SWITCH, INC.

BD
CRD#: 37648
GREAT NECK, NY
Past

April 29, 1998 - December 20, 1999

MORGAN GRANT CAPITAL CORP.

BD
CRD#: 28595
GARDEN CITY, NY
Past

July 10, 1997 - February 20, 1998

SCHNEIDER SECURITIES, INC.

BD
CRD#: 16434
DENVER, CO
Past

May 14, 1997 - July 21, 1997

ALLIANCE ASSET GROUP,INC.

BD
CRD#: 18050
ENGLEWOOD CLIFFS, NJ
Past

March 19, 1997 - July 7, 1997

LEGEND MERCHANT GROUP, INC.

BD
CRD#: 5155
NEW YORK, NY
Past

October 29, 1996 - May 1, 1997

JARON EQUITIES CORP.

BD
CRD#: 5764
HICKSVILLE, NY
Past

March 9, 1995 - October 23, 1996

INVESTORS ASSOCIATES, INC.

BD
CRD#: 958
HACKENSACK, NJ
Past

August 16, 1994 - March 24, 1995

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY
Past

August 25, 1993 - July 13, 1994

BERKELEY SECURITIES CORPORATION

BD
CRD#: 8397
NEW YORK, NY
Past

August 6, 1992 - August 27, 1993

J. GREGORY & COMPANY, INC.

BD
CRD#: 14892
Past

February 5, 1992 - August 5, 1992

CHATFIELD DEAN & CO., INC.

BD
CRD#: 14714
GREENWOOD VILLAGE, CO

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
RR
Series 63
Date: 3/25/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/4/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/30/1997
General Securities Principal Examination

Current Firm

NS
NEUTRAL SWITCH, INC.
ELECTRONIC BROKERAGE SERVICES, INC. | NEUTRAL SWITCH, INC.

CRD#: 37648 / SEC#: , 8-47859

BD
Terminated by SEC on 10/02/2000
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Contact information

Main Address
Mailing Address
Phone number
Established
Pennsylvania since 08/01/1994
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
NEUTRAL SWITCH HOLDING CORP.PARENT CORP.
CARVALLO, VLADIMIR JAIMEPRESIDENT
LUBITZ, JACKFIN OP

Disclosures

Regulatory Event2

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.

Company Information

NEUTRAL SWITCH, INC.

CRD#: 37648

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