GV
Giovanni A. Valdes
T.R. WINSTON & COMPANY
New York, NY 10007
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CRD#: 6911542
GV
Professional summary
Giovanni Antonio Valdes, who also goes by Giovanni Valdes, is a registered financial professional currently at T.R. WINSTON & COMPANY, LLC located in New York, New York.
Giovanni is registered as a RR (Registered Representative) and started their career in finance in 2018. Giovanni has worked at 5 firms and has passed the Series 63, Series 7TO, SIE, Series 99 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Giovanni Valdes
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 Giovanni Antonio Valdes'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
May 14, 2025 - Present
T.R. WINSTON & COMPANY, LLC
Office #1: 7 Wtc 250 Greenwich Street Suite 4612, New York, NY, 10007BD
CRD#: 10571
New York, NY
Past
July 20, 2023 - May 27, 2025
MM GLOBAL SECURITIES, INC.
BD
CRD#: 2509
NEW YORK, NY
Past
July 21, 2022 - August 14, 2023
MAXIM GROUP LLC
BD
CRD#: 120708
NEW YORK, NY
Past
July 7, 2020 - June 29, 2022
THINKEQUITY LLC
BD
CRD#: 20996
New York, NY
Past
July 16, 2018 - July 14, 2020
CANTOR FITZGERALD & CO.
BD
CRD#: 134
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(5/14/2025)
RR
Alaska(5/14/2025)
RR
Arizona(5/14/2025)
RR
Arkansas(5/14/2025)
RR
California(5/14/2025)
RR
Colorado(5/14/2025)
RR
Connecticut(5/14/2025)
RR
Delaware(5/14/2025)
RR
District of Columbia(5/14/2025)
RR
Florida(5/14/2025)
RR
Georgia(5/14/2025)
RR
Hawaii(5/14/2025)
RR
Idaho(5/14/2025)
RR
Illinois(5/14/2025)
RR
Indiana(5/14/2025)
RR
Iowa(5/14/2025)
RR
Kansas(5/14/2025)
RR
Kentucky(5/14/2025)
RR
Louisiana(5/14/2025)
RR
Maine(5/14/2025)
RR
Maryland(5/14/2025)
RR
Massachusetts(5/14/2025)
RR
Michigan(5/14/2025)
RR
Minnesota(5/14/2025)
RR
Mississippi(5/14/2025)
RR
Missouri(5/14/2025)
RR
Montana(5/14/2025)
RR
Nebraska(5/14/2025)
RR
Nevada(5/14/2025)
RR
New Hampshire(5/14/2025)
RR
New Jersey(5/14/2025)
RR
New Mexico(5/14/2025)
RR
New York(5/14/2025)
RR
North Carolina(5/14/2025)
RR
North Dakota(5/14/2025)
RR
Ohio(5/14/2025)
RR
Oklahoma(5/14/2025)
RR
Oregon(5/14/2025)
RR
Pennsylvania(5/14/2025)
RR
Rhode Island(5/14/2025)
RR
South Carolina(5/14/2025)
RR
South Dakota(5/14/2025)
RR
Tennessee(5/14/2025)
RR
Texas(5/14/2025)
RR
Utah(5/14/2025)
RR
Vermont(5/14/2025)
RR
Virginia(5/14/2025)
RR
Washington(5/14/2025)
RR
West Virginia(5/14/2025)
RR
Wisconsin(5/14/2025)
RR
Wyoming(5/14/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/16/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
TW
T.R. WINSTON & COMPANY, LLC
T.R. WINSTON & COMPANY, INC. | T.R. WINSTON & COMPANY, LLC
CRD#: 10571 / SEC#: , 8-27519
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
376 Main Street, Bedminster, NJ 07921-2613
Mailing Address
P.o. Box 74 376 Main Street, Bedminster, NJ 07921
Phone number
(908) 234-0300
Established
Delaware since 08/18/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RUNNELS, G TYLER | DIRECTOR, CHAIRMAN AND CEO | 1415264 |
| KANG, KAREN | EXECUTIVE VICE PRESIDENT AND ROSFP | 4367718 |
| CRISWELL, JEFFREY LENOX SR | VICE PRESIDENT, SECRETARY, CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER | 2121440 |
| HEMEDES, STEPHEN NATHANIEL | MUNICIPAL PRINCIPAL AND HEAD TRADER | 6870830 |
| SANCIO, GALE ANN | ASSISTANT SECRETARY, ROSFP | 1121258 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 5 |
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.
