Alfred W. Valz
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.
Alfred William Valz was a registered financial professional .
Alfred is a previously registered financial professional and started their career in finance in 1971. Alfred had worked at 9 firms and has passed the Series 65, Series 63, SIE, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 12, 2016 - February 3, 2017
NATIONAL SECURITIES CORPORATION
April 30, 2004 - May 20, 2016
UBS FINANCIAL SERVICES INC.
April 30, 2004 - May 20, 2016
UBS FINANCIAL SERVICES INC.
August 13, 2002 - May 3, 2004
MORGAN STANLEY DW INC.
February 12, 1993 - May 3, 2004
MORGAN STANLEY DW INC.
April 25, 1986 - February 17, 1993
PRUDENTIAL EQUITY GROUP, LLC
May 23, 1980 - May 17, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 26, 1979 - June 22, 1980
LEHMAN BROTHERS INC.
March 3, 1978 - November 27, 1979
LOEB PARTNERS
July 9, 1973 - March 15, 1978
THOMSON MCKINNON SECURITIES INC.
July 2, 1971 - June 5, 1974
HALLE & STIEGLITZ FLOOR BULLARD 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
PC
Date: 9/7/1977
AMEX Put and Call ExamSeries 1
Date: 6/28/1971
Registered Representative ExaminationCurrent Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
