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GV

Gail Alyssa B. Vallarta

ALLIANCE-ONE INVESTMENTS
Quezon,
Some features on this profile are disabled
CRD#: 7182533
GV

Professional summary

Gail Alyssa Babaran Vallarta, who also goes by Gail-alyssa Babaran Vallarta, is a registered financial professional currently at ALLIANCE-ONE INVESTMENTS, LLC .

Gail Alyssa is registered as a RR (Registered Representative) and started their career in finance in 2019. Gail Alyssa has worked at 3 firms and has passed the Series 63, Series 7TO, SIE and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Gail-Alyssa Babaran Vallarta

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 Gail Alyssa Babaran Vallarta'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®
None

Experience

Current

May 10, 2023 - Present

ALLIANCE-ONE INVESTMENTS, LLC

BD
CRD#: 286025
Quezon,
Past

October 25, 2021 - December 21, 2022

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
TAGUIG CITY,
Past

November 15, 2019 - October 8, 2021

E*TRADE SECURITIES LLC

BD
CRD#: 29106
Makati City,

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/26/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 11/15/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/25/2019
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 26
Date: 11/14/2024
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AI
ALLIANCE-ONE INVESTMENTS, LLC
ALLIANCE-ONE INVESTMENTS, LLC

CRD#: 286025 / SEC#: , 8-69868

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

Main Address
4000 N Mingo Rd, Tulsa, OK 74116
Mailing Address
4000 N Mingo Rd, Tulsa, OK 74116
Phone number
(918) 281-1820
Established
Delaware since 10/20/2016
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Medium
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ALLIANCE-ONE HOLDINGS, LLCSOLE MEMBER
ARBO, WILLIAM CHARLESCEO/CHIEF FINANCIAL OFFICER1773016
TOOMEY, JAY ALANCHIEF COMPLIANCE OFFICER2514959

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

ALLIANCE-ONE INVESTMENTS, LLC

CRD#: 286025Quezon

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