Thomas H. Valverde
Professional summary
Thomas Hazen Valverde, who also goes by Tom Valverde, Thomas Hazen Valverde, is a registered financial professional currently at MIT ASSOCIATES, LLC located in Tiburon, California.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1993. Thomas has worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7, Series 24, Series 10, Series 9, Series 23 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas Hazen Valverde's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 1, 2025 - Present
MIT ASSOCIATES, LLC
July 31, 2020 - January 27, 2021
APEX CLEARING CORPORATION
May 12, 2014 - July 17, 2020
FIDELITY BROKERAGE SERVICES LLC
November 7, 2008 - May 5, 2014
PERSHING ADVISOR SOLUTIONS LLC
September 14, 2007 - November 7, 2008
FIDELITY BROKERAGE SERVICES LLC
March 22, 2007 - July 23, 2007
NATIONAL FINANCIAL SERVICES LLC
June 2, 1994 - March 23, 2007
FIDELITY BROKERAGE SERVICES LLC
April 20, 1993 - June 6, 1994
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 6/14/2024
General Securities Representative ExaminationSeries 8
Date: 6/17/1996
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
MIT ASSOCIATES, LLC
CRD#: 121171 / SEC#: , 8-65386
Contact information
FINRA licenses (51 States and Territories)
Red Flags
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