NV
Nelson O. Vallin
INSIGNEO ADVISORY SERVICES
MIAMI, FL
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CRD#: 4572836
NV
Professional summary
Nelson Octavio Vallin is a registered financial advisor currently at INSIGNEO ADVISORY SERVICES, LLC located in Miami, Florida and INSIGNEO SECURITIES, LLC located in Miami, Florida.
Nelson is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Nelson has worked at 6 firms and has passed the Series 66, SIE 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.
-Dually registered as an advisor with affiliated RIA, Insigneo Advisory Services, LLC to conduct advisory business. Spends 50 Hr./Mo. approx. Start date 5/2021. -Actor in commercials. No investment related / Address: 2820 McFarlane Rd, Miami, FL 33133 / Nature: Participating in commercials, music, videos and similar events. / Position: actor or extra / Start date: 10/22/2023 / Devoted time: Done once a year in the last 2 years for about 6 hours each time. Devoted time during securities hours: None, but there could be a day when it is scheduled, if so I would do what I do when I go on vacation
CRS (Client Relationship Summary) - RIA
Click below to view Nelson Octavio Vallin'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®
NoneExperience
Current
June 25, 2021 - Present
INSIGNEO ADVISORY SERVICES, LLC
RIA
CRD#: 282589
MIAMI, FL
Current
June 1, 2021 - Present
INSIGNEO SECURITIES, LLC
Office #1: 1221 Brickell Ave 27th Floor, Miami, FL 33131BD
CRD#: 29249
Miami, FL
Past
January 6, 2010 - June 9, 2021
HSBC SECURITIES (USA) INC.
RIA
CRD#: 19585
MIAMI, FL
Past
December 6, 2007 - December 18, 2009
HSBC SECURITIES (USA) INC.
RIA
CRD#: 19585
MIAMI, FL
Past
November 29, 2005 - June 9, 2021
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
MIAMI, FL
Past
May 7, 2004 - November 1, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
MIAMI, FL
Past
April 30, 2004 - November 1, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
Past
January 16, 2003 - September 23, 2003
NEWBRIDGE SECURITIES CORPORATION
BD
CRD#: 104065
BOCA RATON, FL
Past
August 27, 2002 - December 18, 2002
CLARITY SECURITIES, INC.
BD
CRD#: 104406
TITUSVILLE, FL
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".
IA
INSIGNEO ADVISORY SERVICES, LLC
1202 WEALTH MANAGEMENT | TRANSATLANTIC INVESTMENT PARTNERS, LLC | THE PRIVATE WEALTH GROUP | THE BAY WEALTH GROUP | TENET GLOBAL ADVISORS | STONE CAPITAL MANAGEMENT | SAILBRIDGE WEALTH MANAGEMENT | RONIN CAPITAL | REL CAPITAL ADVISORS | PRUDENT WEALTH ADVISERS | PLUTUS PRIVATE WEALTH | PHOENIX PRIVATE CLIENT GROUP | MVR WEALTH MANAGEMENT | MVP WEALTH MANAGEMENT | LEGACY ADVISORY GROUP | INSIGNEO ADVISORY SERVICES, LLC | HONEST WEALTH, LLC | HILLGUARD WEALTH MANAGEMENT LLC | GREEN GROVE WEALTH MANAGEMENT, LLC | GLOBAL INVESTOR ADVISORY SERVICES, LLC | GAP WEALTH MANAGEMENT | FORTIS PRIVATE WEALTH ADVISORS | FIORE CAPITAL ADVISOR LLC | EMERALD WEALTH ADVISORS | DM WEALTH MANAGEMENT GROUP | DIAZ-BAZAN ASSET MANAGEMENT LLC | DIAZ-BAZAN ASSET MANAGEMENT | CARRILLO WEALTH MANAGEMENT | BORRELI CAPITAL MANAGEMENT | BAYFRONT GROUP, LLC | AVENTURA PRIVATE WEALTH, LLC | ARS PRIVATE WEALTH MANAGEMENT, LLC | AIRES CAPITAL ADVISORS, LLC | AC GLOBAL INVESTMENT PARTNERS | A PLUS CAPITAL,LLC
CRD#: 282589 / SEC#: 801-107256
RIA
Registered Investment Advisory firm - (2/22/2016 Approved)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
IAR
Florida(6/25/2021)
RR
Florida(7/1/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
IA
INSIGNEO ADVISORY SERVICES, LLC
1202 WEALTH MANAGEMENT | TRANSATLANTIC INVESTMENT PARTNERS, LLC | THE PRIVATE WEALTH GROUP | THE BAY WEALTH GROUP | TENET GLOBAL ADVISORS | STONE CAPITAL MANAGEMENT | SAILBRIDGE WEALTH MANAGEMENT | RONIN CAPITAL | REL CAPITAL ADVISORS | PRUDENT WEALTH ADVISERS | PLUTUS PRIVATE WEALTH | PHOENIX PRIVATE CLIENT GROUP | MVR WEALTH MANAGEMENT | MVP WEALTH MANAGEMENT | LEGACY ADVISORY GROUP | INSIGNEO ADVISORY SERVICES, LLC | HONEST WEALTH, LLC | HILLGUARD WEALTH MANAGEMENT LLC | GREEN GROVE WEALTH MANAGEMENT, LLC | GLOBAL INVESTOR ADVISORY SERVICES, LLC | GAP WEALTH MANAGEMENT | FORTIS PRIVATE WEALTH ADVISORS | FIORE CAPITAL ADVISOR LLC | EMERALD WEALTH ADVISORS | DM WEALTH MANAGEMENT GROUP | DIAZ-BAZAN ASSET MANAGEMENT LLC | DIAZ-BAZAN ASSET MANAGEMENT | CARRILLO WEALTH MANAGEMENT | BORRELI CAPITAL MANAGEMENT | BAYFRONT GROUP, LLC | AVENTURA PRIVATE WEALTH, LLC | ARS PRIVATE WEALTH MANAGEMENT, LLC | AIRES CAPITAL ADVISORS, LLC | AC GLOBAL INVESTMENT PARTNERS | A PLUS CAPITAL,LLC
CRD#: 282589 / SEC#: 801-107256
RIA
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Contact information
Main Address
1221 Brickell Avenue 27th Floor, Miami, FL 33131
Mailing Address
Phone number
(305) 373-9000
Established
Firm type
Fiscal year end
# of Employees
197
SEC notice filing (26 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,142 |
| AUM (Assets Under Management) | $ 3,612,629,819 |
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.
