David M. Vallejo
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.
David Mauricio Vallejo was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2014. David had worked at 5 firms and has passed the Series 63, 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
May 18, 2018 - December 5, 2019
WORLD EQUITY GROUP, INC.
July 21, 2015 - May 31, 2016
REGAL SECURITIES, INC.
June 12, 2015 - June 23, 2015
NTB FINANCIAL CORPORATION
February 23, 2015 - April 16, 2015
CAPNET SECURITIES CORPORATION
October 7, 2014 - January 23, 2015
VALIC FINANCIAL ADVISORS, INC.
February 21, 2014 - September 23, 2014
CAPNET SECURITIES CORPORATION
Primary Firm SEC Registration
WORLD EQUITY GROUP, INC.
CRD#: 29087 / SEC#: 801-56328, 8-44088
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
WORLD EQUITY GROUP, INC.
CRD#: 29087 / SEC#: 801-56328, 8-44088
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,151 |
| AUM (Assets Under Management) | $ 944,844,374 |
Disclosures
| Regulatory Event | 12 |
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.
