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LL

Lowell H. Listrom

Some features on this profile are disabled
CRD#: 310763
LL

Professional summary

Lowell Huntley Listrom was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Lowell is a previously registered financial professional and started their career in finance in 1949. Prior to being barred, Lowell had worked at 8 firms, which includes VALDES & MORENO INC., NEIGHBORLY SECURITIES, GREY RANDOLF & ABBOTT LTD., KIMMINS SECURITIES INC., ARMENDARIS SECURITIES CORPORATION, MULT-I-VEST CORPORATION OF KANSAS, LOWELL H. LISTROM & COMPANY INC., B.C. CHRISTOPHER SECURITIES CO..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lowell H Listrom

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

May 3, 1995 - December 12, 2008

VALDES & MORENO, INC.

BD
CRD#: 37560
KANSAS CITY, MO
Past

December 21, 1989 - June 21, 1995

NEIGHBORLY SECURITIES

BD
CRD#: 17686
SAN FRANCISCO, CA
Past

December 15, 1988 - November 14, 1989

GREY, RANDOLF & ABBOTT, LTD.

BD
CRD#: 16787
Past

September 7, 1988 - February 4, 1989

KIMMINS SECURITIES, INC.

BD
CRD#: 18168
Past

November 14, 1979 - December 3, 1980

ARMENDARIS SECURITIES CORPORATION

BD
CRD#: 7983
Past

June 28, 1977 - March 23, 1982

MULT-I-VEST CORPORATION OF KANSAS

BD
CRD#: 669
Past

October 6, 1972 - September 26, 1988

LOWELL H. LISTROM & COMPANY INC.

BD
CRD#: 6336
Past

September 12, 1949 - October 27, 1972

B.C. CHRISTOPHER SECURITIES CO.

BD
CRD#: 60

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
RR
Series 63
Date: 11/18/1980
Uniform Securities Agent State Law Examination

Current Firm

V&
VALDES & MORENO, INC.
VALDES & MORENO, INC.

CRD#: 37560 / SEC#: , 8-47810

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

Main Address
819 Main Street Room 304, Parkville, MO 64152
Mailing Address
819 Main Street Room 304, Parkville, MO 64152
Phone number
(816) 221-6700
Established
Missouri since 07/13/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (5 States and Territories)

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Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LISTROM, MARCO REIDPRESIDENT & CHIEF COMPLIANCE OFFICER310764

Disclosures

Regulatory Event2
Arbitration2

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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Company Information

VALDES & MORENO, INC.

CRD#: 37560

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