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CM

Cesar Maldonado

VALDES & MORENO
Chicago, IL 60601
Some features on this profile are disabled
CRD#: 5187025
CM

Professional summary

Cesar Maldonado is a registered financial professional currently at VALDES & MORENO, INC. located in Chicago, Illinois.

Cesar is registered as a RR (Registered Representative) and started their career in finance in 2008. Cesar has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 52 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Cesar Maldonado's CRS (Customer Relationship Summary).
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®
None

Experience

Current

May 13, 2016 - Present

VALDES & MORENO, INC.

Office #1: 180 N. Lasalle Street Suite 3700, Chicago, IL 60601
BD
CRD#: 37560
Chicago, IL
Past

September 9, 2015 - November 25, 2015

THE WILLIAMS CAPITAL GROUP, L.P.

BD
CRD#: 35149
CHICAGO, IL
Past

February 5, 2015 - July 2, 2015

CASTLEOAK SECURITIES, LP

BD
CRD#: 125334
CHICAGO, IL
Past

January 14, 2008 - November 5, 2014

CABRERA CAPITAL MARKETS, LLC

BD
CRD#: 10081
CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

RR
Illinois
(7/18/2016)

Exams

State Security Law Exam
RR
Series 63
Date: 5/14/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/4/2008
General Securities Representative Examination
General Industry/Product Exam
RR
Series 52
Date: 11/19/2007
Municipal Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

V&
VALDES & MORENO, INC.
VALDES & MORENO, INC.

CRD#: 37560 / SEC#: , 8-47810

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
819 Main Street Room 304, Parkville, MO 64152
Mailing Address
819 Main Street Room 304, Parkville, MO 64152
Phone number
(816) 221-6700
Established
Missouri since 07/13/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LISTROM, MARCO REIDPRESIDENT & CHIEF COMPLIANCE OFFICER310764

Disclosures

Regulatory Event2
Arbitration2

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.

Company Information

VALDES & MORENO, INC.

CRD#: 37560Chicago, IL 60601

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