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SV

Steven A. Velasquez

PARSONEX SECURITIES
Orange, CA 92868
Some features on this profile are disabled
CRD#: 6606891
SV

Professional summary

Steven Andy Velasquez is a registered financial professional currently at PARSONEX SECURITIES, INC. located in Orange, California.

Steven is registered as a RR (Registered Representative) and started their career in finance in 2016. Steven has worked at 1 firm and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Steven Andy Velasquez'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

April 29, 2016 - Present

PARSONEX SECURITIES, INC.

Office #1: 333 City Blvd West Suite 1700, Orange, CA 92868
BD
CRD#: 144412
Orange, CA

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
Arizona
(2/4/2022)
RR
California
(4/29/2016)
RR
Florida
(2/23/2024)
RR
Texas
(1/3/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 4/29/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 4/29/2016
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PS
PARSONEX SECURITIES, INC.
PARSONEX FINANCIAL SERVICES, INC. | PARSONEX SECURITIES, INC.

CRD#: 144412 / SEC#: , 8-67652

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

Main Address
8310 S. Valley Highway Suite 110, Englewood, CO 80112
Mailing Address
8310 S. Valley Highway Suite 110, Englewood, CO 80112
Phone number
(303) 662-8700
Established
Colorado since 03/07/2007
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (50 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#
PARSONEX ENTERPRISES, INC.SHAREHOLDER
DIAMOS, ANTHONY SOLONFINOP/CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER4872899
MILLER, JONATHAN EDWARDPRESIDENT / CEO4153196
NEUSTROM, BRIAN WILLIAMCHIEF COMPLIANCE OFFICER5530526

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

PARSONEX SECURITIES, INC.

CRD#: 144412Orange, CA 92868

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