Valen F. Fleming
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.
Valen Francis Fleming, who also goes by Valen Francis Fleming, Valen Fleming, Val Lipari, Valerie Luiso Lipari, was a registered financial professional .
Valen is a previously registered financial professional and started their career in finance in 1998. Valen had worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 7, 2017 - March 1, 2019
TD AMERITRADE, INC.
March 6, 2017 - March 1, 2019
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
January 24, 2017 - March 1, 2019
TD AMERITRADE, INC.
September 15, 2015 - February 3, 2017
PRUCO SECURITIES, LLC.
February 10, 2014 - June 30, 2015
EQUITABLE DISTRIBUTORS, LLC
September 19, 2012 - January 8, 2013
HAND SECURITIES, INC
August 2, 2006 - September 28, 2011
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
January 28, 2006 - August 4, 2006
WELLS FARGO CLEARING SERVICES, LLC
May 2, 2005 - September 14, 2005
HSBC SECURITIES (USA) INC.
October 20, 2004 - March 14, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 11, 2001 - October 20, 2004
QUICK & REILLY, INC.
August 7, 2000 - December 19, 2000
PRUDENTIAL EQUITY GROUP, LLC
July 22, 1998 - April 28, 2000
METROPOLITAN LIFE INSURANCE COMPANY
July 22, 1998 - April 28, 2000
MSI FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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