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DV

Dominic W. Valdivia

SIGNATURE ESTATE SECURITIES
Newport Beach, CA 92660
CRD#: 7296765
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DV
Dominic Wilson ValdiviaSIGNATURE ESTATE SECURITIES

Professional summary

Dominic Wilson Valdivia, who also goes by Dominic Valdivia, is a registered financial professional currently at SIGNATURE ESTATE SECURITIES, LLC located in Newport Beach, California.

Dominic is registered as a RR (Registered Representative) and started their career in finance in 2020. Dominic has worked at 2 firms and has passed the Series 63, Series 7TO and SIE exams.

Aliases

Dominic Valdivia

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 Dominic Wilson Valdivia'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

June 23, 2026 - Present

SIGNATURE ESTATE SECURITIES, LLC

Office #1: 610 Newport Center Drive Suite 300, Newport Beach, CA 92660
BD
CRD#: 18923
Newport Beach, CA
Past

November 18, 2020 - August 3, 2023

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
SALT LAKE CITY, UT

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: 1/26/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 11/18/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/16/2020
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

SE
SIGNATURE ESTATE SECURITIES, LLC
SIGNATURE ESTATE SECURITIES, INC. | TRANSAM SECURITIES, INC. | SIGNATURE ESTATE SECURITIES, LLC

CRD#: 18923 / SEC#: , 8-37065

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

Main Address
2121 Avenue Of Stars Suite 1600, Los Angeles, CA 90067
Mailing Address
2121 Avenue Of Stars Suite 1600, Los Angeles, CA 90067
Phone number
(310) 712-2323
Established
Delaware since 02/14/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SEIA HOLDINGS LLC100% DIRECT OWNER SIGNATURE ESTATE SECURITIES LLC
MATRISIAN, MATTHEW JAMESPRESIDENT2507829
ROSEN, ERIC ZACHARYCHIEF COMPLIANCE OFFICER6181478
RUSSELL, SARAH DETLINGFINOP6727189

Disclosures

Regulatory Event2

Red Flags

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Company Information

SIGNATURE ESTATE SECURITIES, LLC

CRD#: 18923Newport Beach, CA 92660

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