Marcelino Valdez
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.
Marcelino Valdez Jr, who also goes by Marcelino Valdez Jr, Marcelino Valdez Jr., Marcelino Valdez, was a registered financial professional .
Marcelino is a previously registered financial professional and started their career in finance in 2008. Marcelino had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 27, 2018 - February 27, 2020
TD AMERITRADE, INC.
February 26, 2018 - February 27, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 26, 2018 - February 27, 2020
TD AMERITRADE, INC.
January 27, 2017 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
July 11, 2016 - February 26, 2018
SCOTTRADE, INC.
October 2, 2014 - July 13, 2016
BANCWEST INVESTMENT SERVICES, INC.
August 21, 2014 - July 13, 2016
BANCWEST INVESTMENT SERVICES, INC.
September 1, 2010 - July 1, 2014
OAK TREE SECURITIES, INC.
April 28, 2008 - August 16, 2010
NYLIFE SECURITIES LLC
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
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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