Jose M. Valdes
Professional summary
Jose Miguel Valdes was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jose is a previously registered financial professional and started their career in finance in 2013. Prior to being barred, Jose had worked at 1 firm, which includes STONEX INTERNATIONAL SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 18, 2014 - December 22, 2014
STONEX INTERNATIONAL SECURITIES INC.
September 17, 2013 - December 9, 2013
STONEX INTERNATIONAL SECURITIES INC.
State Registrations and Notice Filings
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Exams
Current Firm
STONEX INTERNATIONAL SECURITIES INC.
CRD#: 146667 / SEC#: , 8-67840
Contact information
FINRA licenses (19 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | OWNER | |
| CARTER, JAY WILSON | DIRECTOR | 2412541 |
| DICIOLLO, ANTHONY JOSEPH | DIRECTOR | 4976402 |
| JONES, JONATHAN PATRICK | PRINCIPAL FINANCIAL OFFICER | 4635401 |
| NEALON, TIFFANY | CHIEF COMPLIANCE OFFICER: AML COMPLIANCE OFFICER; EXECUTIVE REPRESENTATIVE: PRINCIPAL OPERATING OFFICER | 4858359 |
| SHAFFER, ROGER L | DIRECTOR | 1921270 |
| VIDAURRI, EVERARDO | DIRECTOR, CEO, ROSFP, EXECUTIVE REP | 2340353 |
Red Flags
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