Patricia Valdivia
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.
Patricia Valdivia, who also goes by Patricia Anne Valdivia, Patricia A Valdivia, was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 1996. Patricia had worked at 7 firms and has passed the Series 63, Series 6TO, SIE, Series 7 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
January 11, 2022 - July 13, 2022
MUTUAL OF AMERICA SECURITIES LLC
January 4, 2021 - July 20, 2021
EMPOWER FINANCIAL SERVICES, INC.
November 16, 2020 - January 4, 2021
MML INVESTORS SERVICES, LLC
December 12, 2003 - March 13, 2007
USAA INVESTMENT SERVICES COMPANY
September 25, 2000 - December 3, 2001
CHARLES SCHWAB & CO., INC.
March 23, 1999 - December 20, 1999
PIPER SANDLER & CO.
August 14, 1996 - November 18, 1998
VANGUARD MARKETING CORPORATION
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
Series 6TO
Date: 11/16/2020
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
MUTUAL OF AMERICA SECURITIES LLC
CRD#: 27878 / SEC#: , 8-43278
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL OF AMERICA HOLDING COMPANY LLC | MEMBER | |
| BAILEY, CHRISTOPHER DAVID | CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4582524 |
| BRANT, DAVID ROBERT | FINANCIAL AND OPERATIONS PRINCIPAL (FINOP), PRINCIPAL FINANCIAL OFFICER (PFO), PRINCIPAL OPERATIONS OFFICER (POO) | 2718478 |
| GREGORY, IVAN BRUCE | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 4984456 |
| JOHNSON, TROY SHERMAN | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 3052097 |
| MEDLIN, KYLE LAWRENCE | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 5496979 |
| STEINGARTEN, BRIE ANNE ELIZABETH | GENERAL COUNSEL AND SECRETARY | 5373977 |
Red Flags
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