Alan D. Valdes
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Alan David Valdes was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 2001. Alan had worked at 4 firms and has passed the SIE exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 9, 2010 - April 14, 2016
DME SECURITIES, LLC
September 16, 2009 - April 7, 2010
KABRIK TRADING LLC
July 29, 2004 - September 21, 2009
J.J.B. HILLIARD, W.L. LYONS, LLC
April 9, 2001 - September 1, 2009
TRADITION SECURITIES AND DERIVATIVES LLC
State Registrations and Notice Filings
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Current Firm
DME SECURITIES, LLC
CRD#: 112584 / SEC#: , 8-53280
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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