Ern John P. Valmores
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.
Ern John Padilla Valmores, who also goes by Ern John Padilla Valmores, Ernjohn Padilla Valmores, was a registered financial professional .
Ern John is a previously registered financial professional and started their career in finance in 1996. Ern John had worked at 8 firms and has passed the Series 65, Series 63, Series 6, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 6, 2008 - August 6, 2012
CAPITAL BROKERAGE CORPORATION
January 30, 2001 - February 14, 2003
CITIZENS JMP SECURITIES, LLC
February 24, 2000 - January 24, 2001
BROKERAGEAMERICA, LLC
October 13, 1999 - January 26, 2000
MORGAN STANLEY DEAN WITTER ONLINE INC.
July 12, 1999 - July 30, 1999
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 18, 1997 - July 12, 1999
BA INVESTMENT SERVICES, INC.
February 11, 1997 - May 1, 1997
FIMCO SECURITIES GROUP, INC.
January 24, 1996 - January 24, 1997
MORGAN STANLEY DW 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
CAPITAL BROKERAGE CORPORATION
CRD#: 10465 / SEC#: , 8-26614
Contact information
FINRA licenses (53 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
