Elvia Daley
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.
Elvia Daley, who also goes by Elvia De Leon Velazquez, was a registered financial professional .
Elvia is a previously registered financial professional and started their career in finance in 1998. Elvia had worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 2017 - March 31, 2021
FROST INVESTMENT SERVICES
February 7, 2012 - March 31, 2021
FROST BROKERAGE SERVICES, INC.
January 3, 2011 - November 7, 2011
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - November 7, 2011
WELLS FARGO CLEARING SERVICES, LLC
September 30, 2008 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
May 8, 2008 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
May 19, 2004 - March 26, 2008
COMERICA SECURITIES
June 3, 2002 - January 8, 2003
UBS INTERNATIONAL INC.
June 3, 2002 - January 8, 2003
UBS INTERNATIONAL INC.
January 16, 2001 - June 3, 2002
UBS FINANCIAL SERVICES INC.
July 14, 1998 - September 30, 1999
BANC OF AMERICA SECURITIES LLC
Primary Firm SEC Registration
FROST INVESTMENT SERVICES
CRD#: 286129 / SEC#: 801-108754
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
FROST INVESTMENT SERVICES
CRD#: 286129 / SEC#: 801-108754
Contact information
SEC notice filing (28 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,179 |
| AUM (Assets Under Management) | $ 2,976,654,932 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/10/2024 | ||
| 11/27/2023 | ||
| 12/21/2022 |
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.
