Maximiliano R. Valera
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.
Maximiliano Rafael Valera, who also goes by Max Valera, was a registered financial professional .
Maximiliano is a previously registered financial professional and started their career in finance in 1997. Maximiliano had worked at 6 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 30, 2024 - November 21, 2025
MIDDLEGATE SECURITIES INC.
December 1, 2020 - March 6, 2023
CANACCORD GENUITY LLC
December 20, 2018 - August 28, 2020
NOMURA SECURITIES INTERNATIONAL, INC.
January 8, 2007 - April 12, 2018
SANTANDER INVESTMENT SECURITIES INC.
October 3, 2001 - December 11, 2006
ICBC STANDARD SECURITIES INC.
November 18, 1998 - September 7, 2001
ICBC STANDARD SECURITIES INC.
July 11, 1997 - March 2, 1998
SOCIMER SECURITIES 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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
MIDDLEGATE SECURITIES INC.
CRD#: 21544 / SEC#: , 8-39031
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUTTON, ELLIOT MAYER | STOCKHOLDER | 1912239 |
| SUTTON, ALBERT MAYER | EXECUTIVE VP, SECRETARY.,DIRECTOR | 1782923 |
| SUTTON, SUSAN NMN | STOCKHOLDER | 1782924 |
| VERDIGER, ISAAC MEIR | STOCKHOLDER | 5486431 |
| FELSENBURG, CHAVI | STOCKHOLDER | 2433674 |
| FELSENBURG, NEWTY | STOCKHOLDER | 5269719 |
| MIZRAHI, VALERIE VICTORIA | STOCKHOLDER | 5264018 |
| LOGRANDE, MARIO | VICE PRESIDENT, CCO | 2787657 |
| OSTROFSKY, STEVEN | PRESIDENT | 1194663 |
| SPINDEL, HOWARD | FINANCIAL AND OPERATIONS PRINCIPAL | 708042 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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