SV
Sergio J. Valente
DWS DISTRIBUTORS
New York, NY 10022
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CRD#: 6398145
SV
Professional summary
Sergio Jude Valente, who also goes by Sergio J Valante, Sergio J Valente, is a registered financial professional currently at DWS DISTRIBUTORS, INC. located in New York, New York.
Sergio is registered as a RR (Registered Representative) and started their career in finance in 2014. Sergio has worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Sergio J Valante | Sergio J Valente
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.
CRS (Client Relationship Summary) - BD
Click below to view Sergio Jude Valente's 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®
NoneExperience
Current
December 7, 2023 - Present
DWS DISTRIBUTORS, INC.
Office #1: 875 Third Avenue, New York, NY 10022BD
CRD#: 37306
New York, NY
Past
July 29, 2022 - October 30, 2023
VAN ECK SECURITIES CORPORATION
BD
CRD#: 2269
NEW YORK, NY
Past
October 19, 2020 - January 10, 2022
T. ROWE PRICE ASSOCIATES, INC.
RIA
CRD#: 105496
Weehawken, NJ
Past
October 19, 2020 - January 10, 2022
T. ROWE PRICE INVESTMENT SERVICES, INC.
BD
CRD#: 8348
BALTIMORE, MD
Past
July 28, 2016 - June 19, 2020
PGIM INVESTMENTS LLC
RIA
CRD#: 105670
Newark, NJ
Past
July 20, 2016 - June 19, 2020
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
BD
CRD#: 18353
NEWARK, NJ
Past
February 10, 2016 - July 7, 2016
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
Berkeley Heights, NJ
Past
November 16, 2015 - July 7, 2016
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
Berkeley Heights, NJ
Past
October 14, 2014 - June 5, 2015
GLOBAL ARENA CAPITAL CORP
BD
CRD#: 16871
NEW YORK, NY
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
Alabama(12/7/2023)
RR
Alaska(12/7/2023)
RR
Arizona(12/7/2023)
RR
Arkansas(12/7/2023)
RR
California(12/7/2023)
RR
Colorado(12/7/2023)
RR
Connecticut(12/7/2023)
RR
Delaware(12/7/2023)
RR
District of Columbia(12/7/2023)
RR
Florida(12/7/2023)
RR
Georgia(12/7/2023)
RR
Hawaii(12/7/2023)
RR
Idaho(12/7/2023)
RR
Illinois(12/7/2023)
RR
Indiana(12/7/2023)
RR
Iowa(12/7/2023)
RR
Kansas(12/7/2023)
RR
Kentucky(12/7/2023)
RR
Louisiana(12/7/2023)
RR
Maine(12/7/2023)
RR
Maryland(12/7/2023)
RR
Massachusetts(12/7/2023)
RR
Michigan(12/7/2023)
RR
Minnesota(12/7/2023)
RR
Mississippi(12/7/2023)
RR
Missouri(12/7/2023)
RR
Montana(12/7/2023)
RR
Nebraska(12/7/2023)
RR
Nevada(12/7/2023)
RR
New Hampshire(12/7/2023)
RR
New Jersey(12/7/2023)
RR
New Mexico(12/7/2023)
RR
New York(12/7/2023)
RR
North Carolina(12/7/2023)
RR
North Dakota(12/7/2023)
RR
Ohio(12/7/2023)
RR
Oklahoma(12/7/2023)
RR
Oregon(12/7/2023)
RR
Pennsylvania(12/7/2023)
RR
Puerto Rico(12/7/2023)
RR
Rhode Island(12/7/2023)
RR
South Carolina(12/7/2023)
RR
South Dakota(12/7/2023)
RR
Tennessee(12/7/2023)
RR
Texas(12/7/2023)
RR
Utah(12/7/2023)
RR
Vermont(12/7/2023)
RR
Virgin Islands(12/7/2023)
RR
Virginia(12/7/2023)
RR
Washington(12/7/2023)
RR
West Virginia(12/7/2023)
RR
Wisconsin(12/7/2023)
RR
Wyoming(12/7/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
DD
DWS DISTRIBUTORS, INC.
DEAWM DISTRIBUTORS, INC. | ZURICH KEMPER DISTRIBUTORS, INC. | SCUDDER DISTRIBUTORS, INC. | KEMPER DISTRIBUTORS, INC. | DWS SCUDDER DISTRIBUTORS, INC. | DWS INVESTMENTS DISTRIBUTORS, INC | DWS DISTRIBUTORS, INC. | DEUTSCHE AM DISTRIBUTORS, INC.
CRD#: 37306 / SEC#: , 8-47765
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
222 South Riverside Plaza, Chicago, IL 60606-5808
Mailing Address
875 Third Avenue 27th Floor- Mail Stop Nyc03-2720, New York, NY 10022
Phone number
(212) 454-8608
Established
Delaware since 09/20/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DWS INVESTMENT MANAGEMENT AMERICAS , INC. | SHAREHOLDER | |
| ABBOTT, KEVIN S | CHIEF OPERATING OFFICER | 4210778 |
| BALUYOT, RHEEZA RAMOS | CHIEF FINANCIAL OFFICER | 8028310 |
| CHELEL, NICOLE M. | CHIEF COMPLIANCE OFFICER | 4748490 |
| IKUSS, AMANDA JEAN | VICE PRESIDENT & DIRECTOR | 6602098 |
| MAUTE, BRIAN C | CHAIRMAN OF THE BOARD/DIRECTOR, CHIEF EXECUTIVE OFFICER / PRESIDENT | 2929953 |
| REUTER, MICHELLE S | VICE PRESIDENT | 6572669 |
| SHIELDS, JOHN POWELL JR | DIRECTOR & VICE PRESIDENT | 1950330 |
| WILCZEWSKI, JOEL JOHN | VICE PRESIDENT | 2815498 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 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.
