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Detailed Report
MICHAEL CARLOS VALDEZ
MIKE CARLOS VALDEZ
CRD#: 1228543
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 TAMPA, FL
Registration History
1985199019952000200520102015202020252 FIRMS2002 - 2003 (<1 year)2 FIRMS2003 - 2012 (8 years)2 FIRMS2012 - 2016 (4 years)2 FIRMS2016 - 2019 (3 years)2 FIRMS2019 - Present (5 years)BWALNUT STREET SECURITIES, INC. (CRD# 15840)2000 - 2002 (2 years)BWALNUT STREET SECURITIES, INC. (CRD# 15840)1996 - 1999 (3 years)BPRINCOR FINANCIAL SERVICES COR... (CRD# 1137)1994 - 1996 (1 year)BALLMERICA INVESTMENTS, INC. (CRD# 3960)1986 - 1994 (7 years)BTITAN CAPITAL CORPORATION (CRD# 6359)1985 - 1985 (<1 year)BE.I. SALES, INC. (CRD# 1703)1984 - 1985 (1 year)IAWALNUT STREET ADVISERS INC (CRD# 109903)2001 - 2002 (<1 year)
License(s)

State Registrations

B
Florida 12/4/2019
B
Illinois 12/4/2019
IA
Florida 12/9/2019
B
North Carolina 12/17/2019
B
Georgia 4/1/2020

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
TAMPA, FL
15961 NORTH FLORIDA AVE, LUTZ, FL 33549
Registered with this firm since 12/9/2019
B
LPL FINANCIAL LLC (CRD#:6413)
TAMPA, FL
15961 NORTH FLORIDA AVE, LUTZ, FL 33549
Registered with this firm since 12/4/2019
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 09/07/2016 - 12/12/2019 CETERA ADVISORS LLC (CRD#:10299) TAMPA, FL
B
 09/06/2016 - 12/12/2019 CETERA ADVISORS LLC (CRD#:10299) TAMPA, FL
IA
 05/09/2012 - 09/14/2016 WILBANKS SECURITIES ADVISORY (CRD#:118304) TAMPA, FL
B
 02/29/2012 - 09/14/2016 WILBANKS SECURITIES, INC. (CRD#:40673) Tampa, FL
IA
 04/17/2003 - 03/07/2012 NFP SECURITIES, INC. (CRD#:42046) TAMPA, FL
B
 04/01/2003 - 03/07/2012 NFP SECURITIES, INC. (CRD#:42046) TAMPA, FL
IA
 09/25/2002 - 09/25/2003 PAN-AMERICAN INVESTMENT ADVISERS, INC. (CRD#:111107) TAMPA, FL
B
 08/02/2002 - 04/02/2003 PAN-AMERICAN FINANCIAL ADVISERS (CRD#:15578) NEW ORLEANS, LA
IA
 08/29/2001 - 07/31/2002 WALNUT STREET ADVISERS INC (CRD#:109903) TAMPA, FL
B
 01/11/2000 - 07/29/2002 WALNUT STREET SECURITIES, INC. (CRD#:15840) EL SEGUNDO, CA
B
 02/14/1996 - 12/31/1999 WALNUT STREET SECURITIES, INC. (CRD#:15840) EL SEGUNDO, CA
B
 07/27/1994 - 02/15/1996 PRINCOR FINANCIAL SERVICES CORPORATION (CRD#:1137) DES MOINES, IA
B
 10/06/1986 - 07/14/1994 ALLMERICA INVESTMENTS, INC. (CRD#:3960) WORCESTER, MA
B
 03/05/1985 - 12/20/1985 TITAN CAPITAL CORPORATION (CRD#:6359)
B
 02/27/1984 - 03/08/1985 E.I. SALES, INC. (CRD#:1703)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.