Joseph W. Valis
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.
Joseph William Valis was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1997. Joseph had worked at 4 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 22, 2010 - January 10, 2012
INVESTEC SECURITIES (US) LLC
March 26, 2002 - December 23, 2008
BOVARO PARTNERS, LLC
June 1, 2000 - May 15, 2001
MORGAN STANLEY & CO. LLC
September 4, 1997 - May 12, 2000
SCHRODER & CO. 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
INVESTEC SECURITIES (US) LLC
CRD#: 138421 / SEC#: , 8-67162
Contact information
FINRA licenses (4 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVESTEC USA HOLDINGS CORP. | SOLE MEMBER | |
| GREEN, JONATHAN EVAN | GENERAL COUNSEL, MANAGER AND DIRECTOR | 7964267 |
| HADZIC, EMINA | CHIEF COMPLIANCE OFFICER (08/2025), CORPORATE SECRETARY (05/2022) | 6316232 |
| NAROV, STEVE | CHIEF FINANCIAL OFFICER, FINOP, PFO, POO, BRANCH OFFICE MANAGER AND GENERAL SECURITIES PRINCIPAL | 3060331 |
| ROSENBLUM, SCOTT S. | NON-EMPLOYEE DIRECTOR | 4251370 |
| SUMNER, NOEL JUSTIN | NON-EMPLOYEE DIRECTOR | 7448843 |
| VAN DER WALT, MARLE | NON-EMPLOYEE DIRECTOR | 7694588 |
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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