Valerie K. Mcwilliams
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.
Valerie Kay Mcwilliams, who also goes by Valerie Kay Brock, Valerie Mcwilliams, was a registered financial professional .
Valerie is a previously registered financial professional and started their career in finance in 2008. Valerie had worked at 8 firms and has passed the Series 66, SIE 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
September 7, 2022 - October 20, 2025
THORNBURG SECURITIES LLC
February 13, 2020 - August 2, 2022
OSAIC WEALTH, INC.
February 13, 2020 - August 2, 2022
OSAIC WEALTH, INC.
June 13, 2012 - February 5, 2020
ONEAMERICA SECURITIES, INC.
June 13, 2012 - February 5, 2020
ONEAMERICA SECURITIES, INC.
August 17, 2011 - May 8, 2012
SIGNATOR FINANCIAL SERVICES, INC.
November 13, 2009 - May 11, 2011
PNC WEALTH MANAGEMENT LLC
November 13, 2009 - May 11, 2011
PNC WEALTH MANAGEMENT LLC
July 2, 2009 - November 13, 2009
NATCITY INVESTMENTS, INC.
July 2, 2009 - November 13, 2009
NATCITY INVESTMENTS, INC.
March 17, 2009 - June 4, 2009
FORESTERS FINANCIAL SERVICES, INC.
September 16, 2008 - February 4, 2009
EDWARD JONES
July 18, 2008 - February 4, 2009
EDWARD JONES
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
THORNBURG SECURITIES LLC
CRD#: 14857 / SEC#: , 8-31249
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THORNBURG INVESTMENT MANAGEMENT INC | SOLE MEMBER | 106357 |
| BHATT, NIMISH SANJAY | TREASURER, PRINCIPAL FINANCIAL OFFICER | 2789977 |
| BROWNELL, JESSE RYAN | GLOBAL HEAD OF DISTRIBUTION | 5511918 |
| CALLOW, AMY | SECRETARY | |
| HOLLOWAY, CURTIS EDWARD | PRINCIPAL OPERATIONS OFFICER | 5130594 |
| OLEXSAK, RONALD | CHIEF COMPLIANCE OFFICER | 2858575 |
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.
