Erwin D. Valencia
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.
Erwin Dave Michael Valencia, who also goes by Erwin Mich Valencia, Erwin Valencia, was a registered financial professional .
Erwin is a previously registered financial professional and started their career in finance in 1998. Erwin had worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 25, 2012 - December 3, 2012
NIGHTHAWK PARTNERS INC.
April 15, 2004 - August 6, 2004
QUICK & REILLY, INC.
November 8, 2002 - August 6, 2004
QUICK & REILLY, INC.
August 5, 2002 - October 11, 2002
SPENCER CLARKE LLC
January 1, 2002 - August 6, 2002
WEATHERLY SECURITIES CORPORATION
September 1, 1998 - August 25, 1999
SANDS BROTHERS & CO., LTD.
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
NIGHTHAWK PARTNERS INC.
CRD#: 44134 / SEC#: , 8-50551
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BERG, JONATHAN MICHAEL | SENIOR VICE PRESIDENT; GENERAL SECURITIES PRINCIPAL; SHAREHOLDER | 1498812 |
| GRIMALDI, RALPH CAMORS III | CEO; GENERAL SECURITIES PRINCIPAL | |
| GRIMALDI, RALPH CAMORS III | CHIEF COMPLIANCE OFFICER |
Disclosures
| Regulatory Event | 1 |
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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