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Francisco Javier Valenzuela
CRD#: 2786970
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Previous Investment Adviser
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Previous Broker
SUSPENDED
FINRA has suspended this individual from acting as a broker. Please see the detailed report for more information
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
200620082010201220142016201820202022IAMORGAN STANLEY (CRD# 149777)2015 - 2018 (2 years)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2010 - 2015 (4 years)IACHASE INVESTMENT SERVICES CORP. (CRD# 25574)2007 - 2010 (3 years)
Disclosure(s)
View By:
8/5/2022
Regulatory
Final
2/6/2020
Customer Dispute
Award / Judgment
12/17/2019
Regulatory
Final
7/20/2018
Regulatory
Final
11/28/2017
Financial
Final
11/3/2008
Customer Dispute
Denied
11/23/2005
Customer Dispute
Settled
Previous Registration(s)
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04/17/2015 - 01/25/2018 MORGAN STANLEY (CRD#:149777) TUCSON, AZ
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12/15/2010 - 04/01/2015 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) TUCSON, AZ
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06/25/2007 - 12/15/2010 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) NOGALES, AZ
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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.
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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.