Alexis Valentin
Professional summary
Alexis Valentin, who also goes by Alex Valentin, is a registered financial professional currently at FIRST MANHATTAN SECURITIES LLC located in New York, New York.
Alexis is registered as a RR (Registered Representative) and started their career in finance in 2021. Alexis has worked at 1 firm and has passed the Series 63, Series 57TO, SIE, Series 7TO and Series 11 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Alexis Valentin's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 12, 2021 - Present
FIRST MANHATTAN SECURITIES LLC
Office #1: 399 Park Avenue, New York, NY 10022State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/19/2024)
Exams
Series 57TO
Date: 6/21/2022
Securities Trader ExamSeries 7TO
Date: 4/24/2021
General Securities Representative ExaminationSeries 11
Date: 1/29/2018
Assistant Representative-Order Processing Qualification ExamFINRA
Nasdaq Stock Market
Current Firm
FIRST MANHATTAN SECURITIES LLC
CRD#: 1845 / SEC#: 801-12411, 8-10438
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FMC GROUP HOLDINGS LP | LIMITED PARTNERSHIP | |
| WYDRA, ZACHARY A | CHIEF EXECUTIVE OFFICER | 2937857 |
| ASPEN, ANDREW JOSEPH | CHIEF LEGAL OFFICER | 5282749 |
| COVINO, JEREMY PAUL | CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF FINRA RULE 3130) | 6794503 |
| PINTO, ALVARO SPINOLA | FINOP/PRINCIPAL OPERATIONS OFFICER | 6367887 |
| SAMMARCO, JOSEPH ANTHONY | CO-DIRECTOR OF OPERATIONS; HEAD OF SUPERVISION | 2982052 |
Regulatory assets under management
| Total Number of Accounts | 5,308 |
| AUM (Assets Under Management) | $ 29,853,233,052 |
Disclosures
| Regulatory Event | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/22/2022 |
Red Flags
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