Silva A. Velez
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.
Silva Alexander Velez, who also goes by Alexander Valez, Alex Velez, Alexander Velez, was a registered financial professional .
Silva is a previously registered financial professional and started their career in finance in 2002. Silva had worked at 18 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
September 30, 2015 - December 14, 2015
J.H. DARBIE & CO., INC.
March 18, 2015 - September 30, 2015
AVENIR FINANCIAL GROUP
June 13, 2014 - March 25, 2015
LAMPERT CAPITAL MARKETS INC.
March 3, 2014 - June 9, 2014
BLACKBOOK CAPITAL, LLC
February 4, 2014 - February 28, 2014
AVENIR FINANCIAL GROUP
May 21, 2013 - February 10, 2014
PHX FINANCIAL, INC.
April 25, 2012 - May 28, 2013
JOHN THOMAS FINANCIAL
September 28, 2011 - April 26, 2012
PHD CAPITAL
August 4, 2011 - October 3, 2011
BROOKVILLE CAPITAL PARTNERS
January 5, 2011 - August 24, 2011
OBSIDIAN FINANCIAL GROUP, LLC
October 20, 2010 - December 14, 2010
CHARLES MORGAN SECURITIES, INC.
October 5, 2010 - November 10, 2010
HALLMARK INVESTMENTS, INC.
March 11, 2009 - September 13, 2010
SEABOARD SECURITIES, INC.
February 19, 2009 - March 25, 2009
HALLMARK INVESTMENTS, INC.
November 4, 2008 - January 27, 2009
JHS CAPITAL ADVISORS, LLC
July 14, 2008 - November 3, 2008
E1 ASSET MANAGEMENT, INC.
December 20, 2006 - January 9, 2007
E1 ASSET MANAGEMENT, INC.
December 20, 2006 - July 14, 2008
PHD CAPITAL
January 5, 2006 - December 8, 2006
THE ROCKWELL FINANCIAL GROUP, INC.
November 20, 2003 - January 3, 2006
NATIONAL SECURITIES CORPORATION
July 22, 2003 - December 9, 2003
BERRY-SHINO SECURITIES, INC.
July 5, 2002 - April 24, 2003
EKN FINANCIAL SERVICES 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
Exams
Current Firm
J.H. DARBIE & CO., INC.
CRD#: 43520 / SEC#: , 8-50335
Contact information
FINRA licenses (46 States and Territories)
Disclosures
| Regulatory Event | 10 |
| Civil Event | 1 |
| Arbitration | 1 |
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.
