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Calvin H. Vaval

CRD# 5035232·Registered 2006 - 2013
Previously Registered: Being a previously registered professional could mean that Calvin 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.

Professional Summary

Calvin H. Vaval, who also goes by Calvin Henry, Calvin Vaval, was a registered financial advisor. Calvin was a previously registered financial professional and started their career in finance 2006 - 2013. Calvin had worked at 8 firms and has passed the Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Calvin Henry, Calvin Vaval

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

20 years in the financial services industry

Current & Past Employments

AVENIR FINANCIAL GROUP·CRD# 148490
BD
New York, NY
June 5, 2013 - December 3, 2013
GARDEN STATE SECURITIES, INC.·CRD# 10083
BD
New York, NY
August 19, 2011 - November 10, 2011
JOHN THOMAS FINANCIAL·CRD# 40982
BD
New York, NY
October 22, 2010 - August 23, 2011
J.H. DARBIE & CO., INC.·CRD# 43520
BD
New York, NY
May 4, 2010 - June 24, 2010
SEABOARD SECURITIES, INC.·CRD# 755
BD
New York, NY
November 17, 2009 - February 22, 2010
THINKEQUITY LLC·CRD# 20996
BD
New York, NY
April 18, 2008 - December 11, 2009
JOSEPH STEVENS & CO., INC.·CRD# 35459
BD
Brooklyn, NY
November 13, 2007 - April 17, 2008
MERCER CAPITAL LTD.·CRD# 104012
BD
New York, NY
June 21, 2006 - November 5, 2007

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Current Firm

AF
AVENIR FINANCIAL GROUP

AVENIR FINANCIAL GROUP | AVENIR FINANCIAL GROUP, INC.

CRD#: 148490 / SEC#: 8-68031
BD
Terminated by SEC on 05/11/2016

Contact Information

Established

Wyoming since 07/26/2010

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
ALLEN, DAVID ARTHURPASSIVE INVESTOR2500427
CLEMENTS, MICHAEL TODDCEO,CCO1702071
PASQUESI, MAUROPASSIVE INVESTOR OWNER6148602
BABOULIS, LINDAPASSIVE INVESTOR6441448
CLEMENTS, JUDITHPASSIVE INVESTOR6432441

Disclosures

Regulatory Event

4

Arbitration

3

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 2006About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Jun 2006About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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