RV
Rosa M. Valencia
DESTRA CAPITAL ADVISORS LLC
South Elgin, IL
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CRD#: 4204112
RV
Professional summary
Rosa Maria Valencia, CIMA® is a registered financial advisor currently at DESTRA CAPITAL ADVISORS LLC located in South Elgin, Illinois and DESTRA CAPITAL INVESTMENTS LLC located in Bozeman, Montana.
Rosa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Rosa has worked at 4 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
CRS (Client Relationship Summary) - RIA
Click below to view Rosa Maria Valencia's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
October 25, 2016 - Present
DESTRA CAPITAL ADVISORS LLC
RIA
CRD#: 148574
South Elgin, IL
Current
December 12, 2011 - Present
DESTRA CAPITAL INVESTMENTS LLC
Office #1: 443 N. Willson Ave., Bozeman, MT 59715Office #2: 443 N. Willson Ave., Bozeman, MT 59715BD
CRD#: 148299
Bozeman, MT
Past
October 8, 2004 - November 17, 2011
DWS DISTRIBUTORS, INC.
BD
CRD#: 37306
CHICAGO, IL
Past
August 21, 2001 - September 30, 2004
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
CHICAGO, IL
Past
September 1, 2000 - September 30, 2004
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
DC
DESTRA CAPITAL ADVISORS LLC
DESTRA ADVISORS LLC | DESTRACOM ADVISORS LLC | DESTRA CAPITAL ADVISORS LLC
CRD#: 148574 / SEC#: 801-71604
RIA
Registered Investment Advisory firm - (12/30/2010 Approved)Illinois
Registered Investment Advisory firm - (1/4/2011 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(4/26/2013)
RR
Alaska(4/26/2013)
RR
Arizona(4/26/2013)
RR
Arkansas(4/26/2013)
RR
California(4/26/2013)
RR
Colorado(4/26/2013)
RR
Connecticut(4/26/2013)
RR
Delaware(4/26/2013)
RR
District of Columbia(4/26/2013)
RR
Florida(10/16/2012)
RR
Georgia(4/26/2013)
RR
Hawaii(4/26/2013)
RR
Idaho(4/26/2013)
RR
Illinois(12/12/2011)
IAR
Illinois(10/25/2016)
RR
Indiana(4/26/2013)
RR
Iowa(4/26/2013)
RR
Kansas(4/26/2013)
RR
Kentucky(4/26/2013)
RR
Louisiana(4/26/2013)
RR
Maine(4/26/2013)
RR
Maryland(4/26/2013)
RR
Massachusetts(4/26/2013)
RR
Michigan(4/26/2013)
RR
Minnesota(4/26/2013)
RR
Mississippi(4/26/2013)
RR
Missouri(4/26/2013)
RR
Montana(4/26/2013)
RR
Nebraska(4/26/2013)
RR
Nevada(4/26/2013)
RR
New Hampshire(4/26/2013)
RR
New Jersey(4/26/2013)
RR
New Mexico(4/26/2013)
RR
New York(4/26/2013)
RR
North Carolina(4/26/2013)
RR
North Dakota(4/26/2013)
RR
Ohio(4/26/2013)
RR
Oklahoma(4/26/2013)
RR
Oregon(4/26/2013)
RR
Pennsylvania(4/26/2013)
RR
Puerto Rico(4/26/2013)
RR
Rhode Island(4/26/2013)
RR
South Carolina(4/26/2013)
RR
South Dakota(4/26/2013)
RR
Tennessee(12/3/2019)
RR
Texas(4/26/2013)
RR
Utah(4/26/2013)
RR
Vermont(4/26/2013)
RR
Virginia(4/26/2013)
RR
Washington(4/26/2013)
RR
West Virginia(4/26/2013)
RR
Wisconsin(4/26/2013)
RR
Wyoming(4/26/2013)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
DC
DESTRA CAPITAL ADVISORS LLC
DESTRA ADVISORS LLC | DESTRACOM ADVISORS LLC | DESTRA CAPITAL ADVISORS LLC
CRD#: 148574 / SEC#: 801-71604
RIA
Registered Investment Advisory firm - (12/30/2010 Approved)Illinois
Registered Investment Advisory firm - (1/4/2011 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
443 N. Willson Avenue, Bozeman, MT 59715
Mailing Address
Phone number
(877) 855-3434
Established
Firm type
Fiscal year end
# of Employees
13
SEC notice filing (12 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3 |
| AUM (Assets Under Management) | $ 414,203,276 |
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.
