Octavio V. Valenzuela

CEROS FINANCIAL SERVICES

Phoenix, AZ

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CRD#: 2856628

Professional summary

Octavio V Valenzuela, who also goes by Octavio Valencia Valenzuela, Octavio Valenzuela, is a registered financial professional currently at CEROS FINANCIAL SERVICES, INC. located in Phoenix, Arizona.

Octavio is registered as a RR (Registered Representative) and started their career in finance in 1997. Octavio has worked at 17 firms and has passed the Series 63, Series 66, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Octavio Valencia Valenzuela | Octavio Valenzuela

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Octavio V Valenzuela's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 25, 2025 - Present

CEROS FINANCIAL SERVICES, INC.

CRD#: 37869

Phoenix, AZ

Past

November 21, 2023 - May 1, 2025

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Phoenix, AZ

Past

September 6, 2022 - October 12, 2023

SAN BLAS SECURITIES LLC

CRD#: 290605

CHICAGO, IL

Past

November 17, 2021 - September 6, 2022

PAULSON INVESTMENT COMPANY LLC

CRD#: 5670

Hazlet, NJ

Past

November 19, 2018 - October 18, 2019

ALPINE SECURITIES CORPORATION

CRD#: 14952

Scottsdale, AZ

Past

January 23, 2018 - November 19, 2018

SCOTTSDALE CAPITAL ADVISORS CORP

RIA

CRD#: 118786

SCOTTSDALE, AZ

Past

December 5, 2017 - November 19, 2018

SCOTTSDALE CAPITAL ADVISORS CORP

CRD#: 118786

SCOTTSDALE, AZ

Past

April 21, 2017 - December 4, 2017

HARRISDIRECT LLC

RIA

CRD#: 42159

Scottsdale, AZ

Past

March 8, 2017 - December 4, 2017

E*TRADE SECURITIES LLC

CRD#: 29106

SCOTTSDALE, AZ

Past

February 13, 2014 - March 2, 2017

SCOTTSDALE CAPITAL ADVISORS CORP

CRD#: 118786

SCOTTSDALE AZ, AZ

Past

September 10, 2013 - February 13, 2014

BMA SECURITIES, LLC

CRD#: 108219

SCOTTSDALE, AZ

Past

January 18, 2013 - August 7, 2013

WILSON-DAVIS & CO., INC.

CRD#: 3777

SALT LAKE CITY, UT

Past

October 7, 2011 - November 16, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PHOENIX, AZ

Past

September 16, 2011 - November 16, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PHOENIX, AZ

Past

February 14, 2011 - September 9, 2011

NYLIFE SECURITIES LLC

CRD#: 5167

TUCSON, AZ

Past

January 27, 2009 - February 2, 2010

THE VERTICAL GROUP

CRD#: 104353

RED BANK, NJ

Past

April 9, 2007 - January 16, 2009

WESTMINSTER SECURITIES CORPORATION

CRD#: 6105

NEW YORK, NY

Past

April 15, 2005 - April 18, 2007

THE VERTICAL GROUP

CRD#: 104353

RED BANK, NJ

Past

November 26, 2002 - May 2, 2005

CARLIN EQUITIES, LLC

CRD#: 31295

NEW YORK, NY

Past

February 6, 2001 - January 31, 2002

LADENBURG THALMANN & CO. INC.

CRD#: 505

NEW YORK, NY

Past

October 31, 1997 - February 7, 2001

WM. V. FRANKEL & CO., INCORPORATED

CRD#: 1895

JERSEY CITY, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(7/16/2025)

California
(7/23/2025)

Connecticut
(7/23/2025)

Florida
(7/24/2025)

Massachusetts
(7/23/2025)

New Jersey
(9/9/2025)

New York
(7/23/2025)

Exams

State Security Law Exam

Series 63

Date: 11/30/2021

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 4/20/2017

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 11/8/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 10/30/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/9/2013

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

CEROS FINANCIAL SERVICES, INC.

CRD#: 37869 / SEC#: , 8-47955

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

1445 Research Boulevard Suite 530, Rockville, MD 20850

Mailing Address

1445 Research Boulevard Suite 530, Rockville, MD 20850

Phone number

(866) 842-3356

Established

Massachusetts since 09/30/1994

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
DGB HOLDINGS, LLC	OWNER
AYERS-RIGSBY, MARY CATHERINE	PRESIDENT	830349
GOLDWASSER, MARK HARRY	CEO	1334008
GREENE, JON CHRISTOPHER	ROSFP	3202524
HOLLAND, ANGELA LYNNETTE	CHIEF COMPLIANCE OFFICER	3166586
POWELL, KIM ULMAN	CHIEF FINANCIAL OFFICER	6244231
WILSON, DANIEL	AMLCO	6763074

Disclosures

Regulatory Event

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Octavio V. Valenzuela

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Octavio V Valenzuela's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

SAN BLAS SECURITIES LLC

PAULSON INVESTMENT COMPANY LLC

ALPINE SECURITIES CORPORATION

SCOTTSDALE CAPITAL ADVISORS CORP

SCOTTSDALE CAPITAL ADVISORS CORP

HARRISDIRECT LLC

E*TRADE SECURITIES LLC

SCOTTSDALE CAPITAL ADVISORS CORP

BMA SECURITIES, LLC

WILSON-DAVIS & CO., INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NYLIFE SECURITIES LLC

THE VERTICAL GROUP

WESTMINSTER SECURITIES CORPORATION

THE VERTICAL GROUP

CARLIN EQUITIES, LLC

LADENBURG THALMANN & CO. INC.

WM. V. FRANKEL & CO., INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 11/30/2021

Series 66

Date: 4/20/2017

SIE

Date: 10/1/2018

Series 55

Date: 11/8/1999

Series 7

Date: 10/30/1997

Series 24

Date: 10/9/2013

FINRA

Nasdaq Stock Market

Current Firm

CEROS FINANCIAL SERVICES, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CEROS FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

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