Evelio U. Valdez
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.
Evelio Ulysses Valdez JR, who also goes by Evelio Ulysses Valdez, Uly Valdez, was a registered financial professional .
Evelio is a previously registered financial professional and started their career in finance in 1979. Evelio had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 15, 2016 - November 30, 2016
SUMMIT BROKERAGE SERVICES, INC.
February 7, 2003 - October 30, 2014
VSR FINANCIAL SERVICES, INC.
April 9, 2002 - February 7, 2003
THE MASTERS, INC.
February 15, 2002 - September 1, 2016
VSR FINANCIAL SERVICES, INC.
July 20, 2001 - February 15, 2002
EMPIRE FINANCIAL GROUP, INC.
June 25, 1996 - July 20, 2001
CENTENNIAL CAPITAL MANAGEMENT, INC.
October 20, 1989 - June 14, 1996
BUCKHEAD FINANCIAL CORPORATION
October 5, 1987 - September 25, 1989
BERACHAH SECURITIES CORPORATION
October 30, 1985 - July 28, 1987
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
December 19, 1979 - August 24, 1981
SUN LIFE FINANCIAL DISTRIBUTORS, 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 1
Date: 12/13/1979
Registered Representative ExaminationCurrent Firm
SUMMIT BROKERAGE SERVICES, INC.
CRD#: 34643 / SEC#: , 8-46310
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUMMIT FINANCIAL SERVICES GROUP, INC. | HOLDING COMPANY FOR APPLICANT | |
| BONNEAU, CATHERINE MCCORMACK | CHIEF OPERATING OFFICER | 2899706 |
| FRAM, FREDERICK GORDON | CHIEF COMPLIANCE OFFICER AND SECRETARY | 1701062 |
| HARRISON, BRETT LAMAR | DIRECTOR | 4032238 |
| JACOBS, STEVEN CRAIG | VICE PRESIDENT AND PRINCIPAL FINANCIAL OFFICER | 1676431 |
| KESTERSON, BARBARA JO | PRINCIPAL OPERATIONS OFFICER | 2747533 |
| LEEDS, MARSHALL TODD | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | 1014569 |
| NEARY, JOSEPH DANIEL | MANAGER | 2993505 |
| OLSON, GREGORY ALAN | ASSISTANT SECRETARY | 2692482 |
| SHELSON, MARK PAUL | TREASURER | 1819252 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 5 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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