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Detailed Report
MIGUEL RAFAEL VALDEZ
MIGUEL RAFAEL VALDER JR, MIGUEL RAFAEL VALDEZ JR
CRD#: 3147525
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 1800 HUGHES LANDING BLVD STE 300
THE WOODLANDS, TX 77380
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS1999 - 2006 (7 years)2 FIRMS2006 - 2009 (2 years)2 FIRMS2024 - Present (1 year)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2010 - 2024 (13 years)BNORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2009 - 2010 (<1 year)BCHASE SECURITIES OF TEXAS, INC. (CRD# 17116)1998 - 1999 (<1 year)IAFIDELITY PERSONAL AND WORKPLAC... (CRD# 288590)2018 - 2024 (5 years)IASTRATEGIC ADVISERS LLC (CRD# 104555)2011 - 2018 (7 years)IANORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2010 - 2010 (<1 year)
Disclosure(s)
View By:
4/2/2009
Customer Dispute
Pending
3/26/2009
Customer Dispute
Pending
9/29/2005
Customer Dispute
Denied
3/1/2002
Customer Dispute
Denied
License(s)

State Registrations

B
Colorado 4/12/2024
B
Texas 4/15/2024
B
Florida 4/12/2024
IA
Texas 4/15/2024
B
Louisiana 6/20/2024

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, 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
WELLS FARGO ADVISORS (CRD#:19616)
1800 HUGHES LANDING BLVD STE 300, THE WOODLANDS, TX 77380
13150 LOUETTA RD, CYPRESS, TX 77429
Registered with this firm since 4/15/2024
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
1800 HUGHES LANDING BLVD STE 300, THE WOODLANDS, TX 77380
13150 LOUETTA RD, CYPRESS, TX 77429
Registered with this firm since 4/12/2024
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 07/13/2018 - 05/09/2024 FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590) BOSTON, MA
B
 09/07/2010 - 05/09/2024 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) THE WOODLANDS, TX
IA
 04/25/2011 - 07/13/2018 STRATEGIC ADVISERS LLC (CRD#:104555) THE WOODLANDS, TX
IA
 01/13/2010 - 06/21/2010 NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC (CRD#:2881) HOUSTON, TX
B
 12/04/2009 - 06/21/2010 NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881) HOUSTON, TX
IA
 09/15/2006 - 03/30/2009 STANFORD GROUP COMPANY (CRD#:39285) HOUSTON, TX
B
 09/15/2006 - 03/30/2009 STANFORD GROUP COMPANY (CRD#:39285) HOUSTON, TX
IA
 03/01/1999 - 09/19/2006 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) HOUSTON, TX
B
 03/01/1999 - 09/19/2006 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) HOUSTON, TX
B
 12/17/1998 - 03/01/1999 CHASE SECURITIES OF TEXAS, INC. (CRD#:17116) HOUSTON, TX
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.