Neilson O. Valdejueza
Professional summary
Neilson Ojastro Valdejueza was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Neilson is a previously registered financial advisor and started their career in finance in 1993. Prior to being barred, Neilson had worked at 4 firms, which includes WAMU INVESTMENTS INC., WELLS FARGO INVESTMENTS LLC, WELLS FARGO SECURITIES INC., F.N. WOLF & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 2004 - June 1, 2006
WAMU INVESTMENTS, INC.
March 25, 2004 - June 1, 2006
WAMU INVESTMENTS, INC.
May 15, 2001 - September 18, 2002
WELLS FARGO INVESTMENTS, LLC
May 2, 2001 - September 18, 2002
WELLS FARGO INVESTMENTS, LLC
September 1, 1995 - May 2, 2001
WELLS FARGO SECURITIES INC.
July 7, 1994 - August 8, 1995
WELLS FARGO SECURITIES INC.
October 5, 1993 - January 25, 1994
F.N. WOLF & CO., INC.
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
WAMU INVESTMENTS, INC.
CRD#: 599 / SEC#: , 8-3641
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WASHINGTON MUTUAL BROKERAGE HOLDINGS, INC. | DIRECT OWNER | |
| CECILIO, ROBERT MARC | DIRECTOR, PRESIDENT, CHIEF ADMINISTRATIVE OFFICER | 1539928 |
| CHABOT, ALAN JAMES | DIRECTOR | 2617874 |
| HENRY, J. CHRISTOPHER | DIRECTOR | 5591455 |
| PERSONS, AARON MATTHEW | FIRST VICE PRESIDENT | 2216151 |
| RHEE, LISA HAMMOND | FINOP | 3251733 |
| WILBURN, DOUGLAS FREDERICK | SENIOR VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 1407686 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 18 |
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.
