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DV

David A. Vallon

NATIXIS DISTRIBUTION
Boston, MA 02199-8197
Some features on this profile are disabled
CRD#: 2928834
DV

Professional summary

David Anthony Vallon is a registered financial professional currently at NATIXIS DISTRIBUTION, LLC located in Boston, Massachusetts.

David is registered as a RR (Registered Representative) and started their career in finance in 1997. David has worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 10, Series 9 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 David Anthony Vallon's 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

March 9, 2005 - Present

NATIXIS DISTRIBUTION, LLC

Office #1: 888 Boylston Street Suite 800, Boston, MA 02199-8197Office #2: 888 Boylston Street Suite 800, Boston, MA 02199-8197
BD
CRD#: 34754
Boston, MA
Past

September 24, 2002 - March 8, 2005

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX
Past

May 2, 2001 - September 18, 2002

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
SAN FRANCISCO, CA
Past

April 8, 1999 - May 2, 2001

WELLS FARGO SECURITIES INC.

BD
CRD#: 17438
SAN FRANCISCO, CA
Past

September 29, 1997 - February 19, 1999

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

BD
CRD#: 332
SAN MATEO, CA

State Registrations and Notice Filings

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

RR
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

RR
Massachusetts
(6/21/2011)

Exams

State Security Law Exam
RR
Series 63
Date: 7/14/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/10/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/25/1997
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 5/4/2001
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 3/16/2001
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/23/2000
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

ND
NATIXIS DISTRIBUTION, LLC
CDC IXIS ASSET MANAGEMENT DISTRIBUTORS, L.P. | TNE INVESTMENT SERVICES, L.P. | NVEST FUNDS DISTRIBUTOR, L.P. | NGAM DISTRIBUTION, L.P. | NEW ENGLAND FUNDS, L.P. | NATIXIS DISTRIBUTORS, L.P. | NATIXIS DISTRIBUTION, LLC | NATIXIS DISTRIBUTION, L.P. | IXIS ASSET MANAGEMENT DISTRIBUTORS, L.P.

CRD#: 34754 / SEC#: , 8-46325

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
888 Boylston Street Suite 800, Boston, MA 02199-8197
Mailing Address
888 Boylston Street Suite 800, Boston, MA 02199-8197
Phone number
(617) 449-2828
Established
Delaware since 07/23/1993
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
NATIXIS INVESTMENT MANAGERS, LLCSOLE MEMBER
GIUNTA, DAVID LAWRENCEPRESIDENT, CHIEF EXECUTIVE OFFICER2290469
LOUREIRO, ANTHONY DAVIDCHIEF COMPLIANCE OFFICER2087464
PINASMITH, BEATRIZ ANAEXECUTIVE VICE PRESIDENT, PRINCIPAL FINANCIAL OFFICER2220599
ROSH, MARILYN VINTONSENIOR VICE PRESIDENT, PRINCIPAL OPERATIONS OFFICER4206001
TOBIN, SUSAN MCWHANEXECUTIVE VICE PRESIDENT, GENERAL COUNSEL4649471

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.

Company Information

NATIXIS DISTRIBUTION, LLC

CRD#: 34754Boston, MA 02199-8197

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