Mario S. 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.
Mario Santana Valdes was a registered financial professional .
Mario is a previously registered financial professional and started their career in finance in 1996. Mario had worked at 5 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 6, 2006 - December 31, 2018
TACTICAL WEALTH SOLUTIONS, LLC
July 22, 2003 - December 31, 2006
QA3 FINANCIAL LLC
July 22, 2003 - November 3, 2008
QA3 FINANCIAL CORP.
August 1, 1997 - July 21, 2003
FFP SECURITIES, INC.
March 4, 1996 - August 1, 1997
TRANSAMERICA FINANCIAL ADVISORS, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TACTICAL WEALTH SOLUTIONS, LLC
CRD#: 139064 / SEC#:
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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