Ramon Delvalle
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.
Ramon Delvalle, who also goes by Ray Delvalle, Ray Valle, was a registered financial professional .
Ramon is a previously registered financial professional and started their career in finance in 1996. Ramon had worked at 13 firms and has passed the Series 63 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
April 11, 2012 - August 15, 2012
EKN FINANCIAL SERVICES INC.
January 30, 2012 - March 5, 2012
REVERE SECURITIES LLC
October 30, 2009 - March 11, 2010
SHEARSON FINANCIAL SERVICES, LLC
November 21, 2008 - December 23, 2008
CAPITAL & CREDIT INTERNATIONAL, INC.
May 26, 2008 - October 7, 2008
BASIS FINANCIAL, LLC
September 20, 2007 - October 3, 2007
DAWSON JAMES SECURITIES, INC.
July 23, 2001 - October 26, 2001
JOSEPH STEVENS & CO., INC.
July 28, 1999 - August 27, 1999
SHARPE CAPITAL, INC.
June 23, 1999 - August 27, 1999
TAYLOR STUART FINANCIAL, INC.
March 24, 1998 - June 22, 1998
D.I.F. SECURITIES INC.
February 23, 1998 - April 8, 1998
SCHNEIDER SECURITIES, INC.
January 14, 1997 - November 4, 1997
TASIN & COMPANY, INC.
December 9, 1996 - January 20, 1997
ROYCE INVESTMENT GROUP, 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
EKN FINANCIAL SERVICES INC.
CRD#: 113525 / SEC#: , 8-53346
Contact information
Documents
Disclosures
| Regulatory Event | 18 |
| Arbitration | 10 |
| Judgment/Lien | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
