Mark 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.
Mark Valdez was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2008. Mark had worked at 3 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
March 20, 2020 - November 14, 2023
NVM CAPITAL PARTNERS, LLC
December 1, 2011 - March 24, 2020
MORGAN STANLEY
December 1, 2011 - March 24, 2020
MORGAN STANLEY
November 11, 2008 - December 2, 2011
WELLS FARGO CLEARING SERVICES, LLC
September 15, 2008 - December 2, 2011
WELLS FARGO CLEARING SERVICES, 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
NVM CAPITAL PARTNERS, LLC
CRD#: 307526 / SEC#: 801-118269
Contact information
Regulatory assets under management
| Total Number of Accounts | 300 |
| AUM (Assets Under Management) | $ 37,562,888 |
Red Flags
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