Rosalie Valladares
Professional summary
Rosalie Valladares, who also goes by Rosalie Valladores, is a registered financial professional currently at COMMONWEALTH AUSTRALIA SECURITIES LLC located in New York, New York.
Rosalie is registered as a RR (Registered Representative) and started their career in finance in 1998. Rosalie has worked at 5 firms and has passed the Series 63, Series 82TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Rosalie Valladares's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 10, 2023 - Present
COMMONWEALTH AUSTRALIA SECURITIES LLC
Office #1: 599 Lexington Avenue 30th Fl, New York, NY 10022August 13, 2021 - January 18, 2023
DCMB SECURITIES LLC
January 15, 2010 - January 9, 2020
NABSECURITIES, LLC
May 12, 2000 - April 28, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 25, 1998 - March 24, 2000
FAM DISTRIBUTORS, 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
(2/10/2023)
(2/10/2023)
Exams
Series 82TO
Date: 1/3/2024
Limited Representative-Private Securities OfferingsFINRA
Current Firm
COMMONWEALTH AUSTRALIA SECURITIES LLC
CRD#: 136321 / SEC#: , 8-66998
Contact information
FINRA licenses (35 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMMONWEALTH BANK 0F AUSTRALIA | SOLE MEMBER | |
| FELDMAN, RICHARD MARK | PFO | 2273453 |
| POULTON, JAYSON ALAN | CFO & POO | 6738733 |
| VARALLI MCCLELLAND, ANN LOUISE | PRINCIPAL - FIXED INCOME | 1043191 |
| VARALLI MCCLELLAND, ANN LOUISE | CHIEF EXECUTIVE OFFICER | 1043191 |
| WALSH, PAUL ROBERT | CHIEF COMPLIANCE OFFICER | 3189041 |
| WINTERS, JENNIFER | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 2604316 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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