Tomas J. Lyon Valdivieso
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.
Tomas Jorge Lyon Valdivieso, who also goes by Tomas Jorge Lyon Valdivieso, was a registered financial professional .
Tomas is a previously registered financial professional and started their career in finance in 2011. Tomas had worked at 1 firm and has passed the Series 63, Series 55 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
May 20, 2011 - May 2, 2014
SANTANDER INVESTMENT SECURITIES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 55
Date: 6/8/2011
Limited Representative-Equity Trader ExamCurrent Firm
SANTANDER INVESTMENT SECURITIES INC.
CRD#: 37216 / SEC#: 801-70715, 8-47664
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LANE, JASON DEARMOND | CHIEF COMPLIANCE OFFICER | 2671708 |
Disclosures
| Regulatory Event | 10 |
Red Flags
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