Jason M. Valdez

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CRD#: 2993533

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.

Jason Michael Valdez, who also goes by Jason Valdez, was a registered financial professional .

Jason is a previously registered financial professional and started their career in finance in 1998. Jason had worked at 8 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 3, Series 55, Series 7, Series 27, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jason Valdez

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 13, 2024 - November 10, 2025

OCEANUS SECURITIES, LLC

CRD#: 133798

Santa Barbara, CA

Past

February 22, 2023 - July 12, 2023

SAMUEL A. RAMIREZ & COMPANY, INC.

CRD#: 6963

NEW YORK, NY

Past

February 2, 2017 - May 18, 2017

CHEEVERS & COMPANY, LLC

CRD#: 31312

CHICAGO, IL

Past

April 30, 2008 - October 5, 2022

PENSERRA SECURITIES, LLC

CRD#: 145994

CHICAGO, IL

Past

September 12, 2005 - February 14, 2012

ROSENBLATT SECURITIES INC.

CRD#: 18377

NEW YORK, NY

Past

June 18, 2003 - August 23, 2005

RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC

CRD#: 329

SEATTLE, WA

Past

April 11, 2000 - February 19, 2003

THOMAS WEISEL PARTNERS LLC

CRD#: 46237

SAN FRANCISCO, CA

Past

December 7, 1998 - April 4, 2000

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

April 6, 1998 - October 21, 1998

J.P. MORGAN SECURITIES LLC

CRD#: 79

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 5/4/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 11/14/2001

National Commodity Futures Examination

General Industry/Product Exam

Series 55

Date: 9/14/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 2/19/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 4/28/2025

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 4

Date: 8/22/2014

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 1/6/2011

General Securities Principal Examination

Current Firm

OCEANUS SECURITIES, LLC

CRD#: 133798 / SEC#: , 8-66772

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

521 Fifth Avenue 37th Floor, New York, NY 10175

Mailing Address

521 Fifth Avenue 37th Floor, New York, NY 10175

Phone number

(212) 509-5600

Established

Delaware since 10/16/2003

Firm type

Limited Liability Company

Fiscal year end

March

Firm Size

Small

# of Employees

FINRA licenses (2 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
OCEANUS ASSOCIATES LLC	MEMBER
CAMPBELL, ROBERT NMN	FINOP, PFO, POO	1349154
EARLYWINE, MICHAEL JOHN	CCO	2166679
GAMBHIR, NITIN	PRESIDENT	2632026

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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Firm Stability Insights

Jason M. Valdez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SAMUEL A. RAMIREZ & COMPANY, INC.

CHEEVERS & COMPANY, LLC

PENSERRA SECURITIES, LLC

ROSENBLATT SECURITIES INC.

RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC

THOMAS WEISEL PARTNERS LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/4/1998

Series 99TO

Date: 1/2/2023

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 11/14/2001

Series 55

Date: 9/14/1999

Series 7

Date: 2/19/1998

Series 27

Date: 4/28/2025

Series 4

Date: 8/22/2014

Series 24

Date: 1/6/2011

Current Firm

OCEANUS SECURITIES, LLC

Contact information

FINRA licenses (2 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

OCEANUS SECURITIES, LLC

TRUST BUT VERIFY

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