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VM

Valentin L. Manglapus

Some features on this profile are disabled
CRD#: 838397
VM

Professional summary

Valentin Lao Manglapus II was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Valentin is a previously registered financial professional and started their career in finance in 1977. Prior to being barred, Valentin had worked at 11 firms, which includes VANGUARD CAPITAL, J.P. MORGAN SECURITIES LLC, LEHMAN BROTHERS INC., BECKER PARIBAS INCORPORATED, ROONEY PACE INC., J. DAVID SECURITIES INC., MORGAN STANLEY DW INC., PRUDENTIAL EQUITY GROUP LLC, LOEB PARTNERS, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, MERRILL LYNCH PIERCE FENNER & SMITH INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Toby Manglapus

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 13, 1996 - November 14, 1997

VANGUARD CAPITAL

BD
CRD#: 22081
DEL MAR, CA
Past

June 26, 1990 - June 13, 1996

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

September 9, 1987 - June 15, 1990

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

December 28, 1984 - August 29, 1987

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
Past

May 10, 1984 - October 29, 1984

BECKER PARIBAS INCORPORATED

BD
CRD#: 7635
Past

March 7, 1984 - January 4, 1985

ROONEY, PACE INC.

BD
CRD#: 6218
Past

February 22, 1983 - March 2, 1984

J. DAVID SECURITIES, INC.

BD
CRD#: 10000
Past

January 5, 1982 - February 4, 1983

MORGAN STANLEY DW INC.

BD
CRD#: 7556
Past

July 6, 1979 - March 30, 1981

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
Past

April 27, 1979 - August 10, 1979

LOEB PARTNERS

BD
CRD#: 7534
Past

September 26, 1978 - April 21, 1979

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
Past

June 8, 1977 - September 26, 1978

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

BD
CRD#: 572

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: 4/29/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/21/1977
General Securities Representative Examination

Current Firm

VC
VANGUARD CAPITAL
VANGUARD CAPITAL

CRD#: 22081 / SEC#: 801-71971, 8-39450

BD
Terminated by SEC on 01/03/2017
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Contact information

Main Address
Del Mar, CA
Mailing Address
Phone number
Established
California since 02/24/1988
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

NamePositionCRD#
SERRAS, GREGORYPRESIDENT,CEO/CFO, CORPORATE SECRETARY1189358
HANSON, CHRISTOPHER ALLENCHIEF COMPLIANCE OFFICER4267718
POLIVKA, VINCENT MARKCOMPLIANCE PRINCIPAL; SROP & CROP DESIGNATE;OPERATIONS SUPPORT1718591

Disclosures

Regulatory Event10
Arbitration3

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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Company Information

VANGUARD CAPITAL

CRD#: 22081

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