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CV

Claudia Velasco

ETC BROKERAGE SERVICES
Newton, PA
Some features on this profile are disabled
CRD#: 6330838
CV

Professional summary

Claudia Velasco, who also goes by Claudia Rubi Dunlap, Claudia Elliott, Claudia Rubi Elliott, Claudia Rubi Guerrero, is a registered financial professional currently at ETC BROKERAGE SERVICES, LLC located in Newton, Pennsylvania.

Claudia is registered as a RR (Registered Representative) and started their career in finance in 2020. Claudia has worked at 3 firms and has passed the Series 66, Series 99TO, Series 7TO, SIE and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Claudia Rubi Dunlap | Claudia Elliott | Claudia Rubi Elliott | Claudia Rubi Guerrero

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Claudia Velasco's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

December 12, 2025 - Present

ETC BROKERAGE SERVICES, LLC

BD
CRD#: 145276
Newton, PA
Past

August 29, 2025 - December 11, 2025

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

RIA
CRD#: 20804
SCOTTSDALE, AZ
Past

August 29, 2025 - December 11, 2025

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

BD
CRD#: 20804
SCOTTSDALE, AZ
Past

May 13, 2024 - September 2, 2025

ETC BROKERAGE SERVICES, LLC

BD
CRD#: 145276
Dallas, TX
Past

October 26, 2021 - May 8, 2024

LPL FINANCIAL LLC

RIA
CRD#: 6413
ALLEN, TX
Past

November 23, 2020 - May 8, 2024

LPL FINANCIAL LLC

BD
CRD#: 6413
ALLEN, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Texas
(12/12/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/23/2021
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 12/16/2025
Operations Professional Examination
General Industry/Product Exam
RR
Series 7TO
Date: 11/23/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/16/2020
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/17/2022
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

EB
ETC BROKERAGE SERVICES, LLC
COLLECTIVE FINANCIAL SERVICES, LLC | ETC BROKERAGE SERVICES, LLC

CRD#: 145276 / SEC#: , 8-67719

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
5430 Lbj Freeway Suite 320, Dallas, TX 75240
Mailing Address
1 Equity Way, Westlake, OH 44145
Phone number
(877) 403-0369
Established
Connecticut since 05/23/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DESICH, JEFFREY ALANDIRECTOR2771522
DESICH, RICHARD ANTHONY JRDIRECTOR2634014
AMACHER, CATHERINE COMBSCEO3168184
FAZEL, MUSTAFACHIEF COMPLIANCE OFFICER2198857
MOORE, JONATHAN KIELPRESIDENT, COO2312492
TRUKSHANIN, MIKHAILCFO, PFO7436256
TRUKSHANIN, MIKHAILFINOP7436256

Disclosures

Regulatory Event1

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.

Company Information

ETC BROKERAGE SERVICES, LLC

CRD#: 145276Newton, PA

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