Michael Valencia
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.
Michael Valencia, who also goes by Michael Adam Valencia, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2014. Michael had worked at 3 firms and has passed the Series 63, Series 7TO, 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
July 7, 2021 - September 19, 2022
FRANKLIN DISTRIBUTORS, LLC
May 10, 2019 - July 7, 2021
FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.
August 8, 2014 - November 13, 2014
CITIGROUP GLOBAL MARKETS INC.
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
Series 7TO
Date: 5/10/2019
General Securities Representative ExaminationCurrent Firm
FRANKLIN DISTRIBUTORS, LLC
CRD#: 109064 / SEC#: , 8-53089
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
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.
