Nicolas E. Valls
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.
Nicolas Emilio Valls was a registered financial professional .
Nicolas is a previously registered financial professional and started their career in finance in 2007. Nicolas had worked at 4 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 20, 2009 - February 3, 2012
COHEN & COMPANY SECURITIES, LLC
July 15, 2009 - August 21, 2009
RBC CAPITAL MARKETS, LLC
December 12, 2008 - July 15, 2009
NATWEST MARKETS SECURITIES INC.
September 18, 2007 - December 12, 2008
RBS SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
COHEN & COMPANY SECURITIES, LLC
CRD#: 149758 / SEC#: , 8-68186
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 6 |
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.
