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Detailed Report
Patricia Valenzuela
PATRICIA VALENZUELA, PATRICIA VELASQUEZ
CRD#: 2466796
IA
Investment Adviser
B
Broker
RAYMOND JAMES & ASSOCIATES, INC.CRD#: 705 301 North Lake Avenue
Suite 1150
Pasadena, CA 91101
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2007 - 2008 (1 year)2 FIRMS2008 - 2011 (2 years)2 FIRMS2011 - 2021 (10 years)2 FIRMS2021 - Present (3 years)BWACHOVIA SECURITIES, LLC (CRD# 19616)2000 - 2007 (6 years)IAWACHOVIA SECURITIES, LLC (CRD# 19616)2005 - 2007 (1 year)
Disclosure(s)
View By:
7/10/2017
Financial
Final
2/7/2017
Financial
Final
12/31/2015
Financial
Final
10/10/2015
Financial
Final
5/13/2015
Financial
Final
License(s)

State Registrations

B
California 9/3/2021
IA
California 9/3/2021

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

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
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
301 North Lake Avenue Suite 1150, Pasadena, CA 91101
SYLMAR, CA
Registered with this firm since 9/3/2021
B
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
301 North Lake Avenue Suite 1150, Pasadena, CA 91101
SYLMAR, CA
Registered with this firm since 9/3/2021
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/14/2011 - 09/15/2021 MORGAN STANLEY (CRD#:149777) Los Angeles, CA
B
 06/13/2011 - 09/15/2021 MORGAN STANLEY (CRD#:149777) Los Angeles, CA
IA
 10/06/2008 - 05/25/2011 CROWELL, WEEDON & CO. (CRD#:193) ENCINO, CA
B
 10/03/2008 - 05/25/2011 CROWELL, WEEDON & CO. (CRD#:193) ENCINO, CA
IA
 06/12/2007 - 10/14/2008 UBS FINANCIAL SERVICES INC. (CRD#:8174) CENTURY CITY, CA
B
 06/12/2007 - 10/14/2008 UBS FINANCIAL SERVICES INC. (CRD#:8174) CENTURY CITY, CA
IA
 08/31/2005 - 06/06/2007 WACHOVIA SECURITIES, LLC (CRD#:19616) LOS ANGELES, CA
B
 08/08/2000 - 06/06/2007 WACHOVIA SECURITIES, LLC (CRD#:19616) LOS ANGELES, CA
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.