Thomas Valverde
Professional Summary
Thomas Valverde, who also goes by Tom Valverde, Thomas Hazen Valverde, was a registered financial advisor. Thomas was a previously registered financial professional and started their career in finance 1993 - 2026. Thomas had 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Tom Valverde, Thomas Hazen Valverde
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
33 years in the financial services industry
Current & Past Employments
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Current Firm
LIABILITY SOLUTIONS | MIT ASSOCIATES, LLC
Contact Information
Main Address
85 Eastview Avenue, Tiburon, CA 94920Mailing Address
Po Box 774, Tiburon, CA 94920Phone Number
(415) 860-3673Established
California since 04/17/2020Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Jun 2024About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jun 2024About the Series 9 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Jun 1996Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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