Kristopher E. Valdez
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.
Kristopher Edward Valdez, who also goes by Kristopher Jonatahn Edwards, was a registered financial professional .
Kristopher is a previously registered financial professional and started their career in finance in 1997. Kristopher had worked at 15 firms and has passed the Series 63, SIE 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
June 20, 2014 - October 5, 2015
CHELSEA FINANCIAL SERVICES
May 29, 2014 - June 6, 2014
ROCKWELL GLOBAL CAPITAL LLC
June 21, 2013 - February 10, 2014
GLOBAL ARENA CAPITAL CORP
February 6, 2013 - July 8, 2013
WOODSTOCK FINANCIAL GROUP, INC.
February 14, 2012 - December 14, 2012
CHELSEA FINANCIAL SERVICES
August 2, 2011 - February 9, 2012
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
November 3, 2010 - July 15, 2011
GLOBAL ARENA CAPITAL CORP
June 15, 2010 - November 2, 2010
PRESTIGE FINANCIAL CENTER, INC.
June 29, 2009 - June 21, 2010
CHELSEA FINANCIAL SERVICES
April 16, 2009 - July 1, 2009
ACAP FINANCIAL INC.
August 22, 2007 - April 13, 2009
CLARK DODGE & CO., INC.
August 8, 2007 - August 15, 2007
WESTROCK ADVISORS, INC.
January 10, 2006 - May 10, 2006
WESTROCK ADVISORS, INC.
February 14, 2005 - August 12, 2005
WESTROCK ADVISORS, INC.
September 13, 2004 - February 2, 2005
WINDSOR STREET CAPITAL, LP
July 12, 2004 - September 14, 2004
AURA FINANCIAL SERVICES, INC.
April 23, 2004 - June 7, 2004
EKN FINANCIAL SERVICES INC.
September 23, 2002 - May 3, 2004
HARRISON SECURITIES, INC.
February 11, 2002 - September 26, 2002
CANTELLA & CO., INC.
December 22, 1997 - February 12, 2002
LADENBURG CAPITAL MANAGEMENT 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
CHELSEA FINANCIAL SERVICES
CRD#: 47770 / SEC#: , 8-51916
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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