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JOSE ANTONIO VALLE II
JOSE A VALLE II, JOSE ANTONIO VALLE, Jose ANTONIO Valle II
CRD#: 4551456
IA
Investment Adviser
B
Broker
FIDELITY PERSONAL AND WORKPLACE ADVISORSCRD#: 288590 23233 CINCO RANCH BLVD STE 125
KATY, TX 77494-2923
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 23501 CINCO RANCH BLVD
BLD C, SUITE C-150
KATY, TX 77494-3095
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2015 - 2020 (4 years)2 FIRMS2020 - 2021 (1 year)2 FIRMS2021 - 2023 (2 years)2 FIRMS2022 - 2023 (1 year)2 FIRMS2023 - Present (1 year)BBBVA SECURITIES INC. (CRD# 27060)2013 - 2015 (1 year)BBBVA COMPASS INVESTMENT SOLUTI... (CRD# 17086)2011 - 2013 (2 years)BINVESTMENT PROFESSIONALS, INC. (CRD# 30184)2010 - 2011 (<1 year)BBBVA COMPASS INVESTMENT SOLUTI... (CRD# 17086)2009 - 2010 (1 year)BCOMPASS BROKERAGE, INC. (CRD# 17086)2005 - 2009 (3 years)BWM FINANCIAL SERVICES, INC. (CRD# 599)2005 - 2005 (<1 year)BUSAA INVESTMENT MANAGEMENT COMPANY (CRD# 5475)2003 - 2004 (<1 year)BPFS INVESTMENTS INC. (CRD# 10111)2002 - 2002 (<1 year)IATD AMERITRADE, INC. (CRD# 7870)2021 - 2022 (1 year)IABBVA WEALTH SOLUTIONS INC. (CRD# 110476)2014 - 2015 (<1 year)
Disclosure(s)
View By:
6/21/2022
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 5/23/2024

B
Missouri 3/4/2024

B
Arkansas 1/3/2025

B
New York 1/3/2025

B
Florida 1/28/2025

B
Pennsylvania 3/4/2024

B
Louisiana 2/7/2024

B
Texas 8/23/2023

B
Massachusetts 2/11/2025

IA
Texas 8/30/2023

B
Michigan 3/5/2024

SRO Registrations

B
FINRA

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
FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590)
23233 CINCO RANCH BLVD STE 125, KATY, TX 77494-2923
Registered with this firm since 8/30/2023

B
FIDELITY BROKERAGE SERVICES LLC (CRD#:7784)
23501 CINCO RANCH BLVD BLD C, SUITE C-150, KATY, TX 77494-3095
RICHMOND, TX
Registered with this firm since 8/22/2023

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/26/2022 - 08/07/2023 CHARLES SCHWAB & CO., INC. (CRD#:5393) Houston, TX
IA
06/08/2021 - 08/07/2023 TD AMERITRADE INVESTMENT MANAGEMENT, LLC (CRD#:111514) Houston, TX
B
01/26/2022 - 08/07/2023 CHARLES SCHWAB & CO., INC. (CRD#:5393) Houston, TX
B
06/08/2021 - 08/07/2023 TD AMERITRADE, INC. (CRD#:7870) HOUSTON, TX
IA
06/08/2021 - 10/14/2022 TD AMERITRADE, INC. (CRD#:7870) HOUSTON, TX
IA
01/13/2020 - 06/02/2021 J.P. MORGAN SECURITIES LLC (CRD#:79) HOUSTON, TX
B
01/13/2020 - 06/02/2021 J.P. MORGAN SECURITIES LLC (CRD#:79) HOUSTON, TX
IA
04/08/2015 - 01/03/2020 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) HOUSTON, TX
B
04/08/2015 - 01/03/2020 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) HOUSTON, TX
IA
12/09/2014 - 04/08/2015 BBVA WEALTH SOLUTIONS INC. (CRD#:110476) SUGARLAND, TX
B
05/16/2013 - 04/08/2015 BBVA SECURITIES INC. (CRD#:27060) SUGAR LAND, TX
B
05/19/2011 - 05/16/2013 BBVA COMPASS INVESTMENT SOLUTIONS, INC (CRD#:17086) SUGAR LAND, TX
B
06/28/2010 - 05/11/2011 INVESTMENT PROFESSIONALS, INC. (CRD#:30184) HOUSTON, TX
B
03/30/2009 - 04/15/2010 BBVA COMPASS INVESTMENT SOLUTIONS, INC (CRD#:17086) SUGAR LAND, TX
B
12/21/2005 - 02/12/2009 COMPASS BROKERAGE, INC. (CRD#:17086) KATY, TX
B
02/07/2005 - 11/04/2005 WM FINANCIAL SERVICES, INC. (CRD#:599) IRVINE, CA
B
10/01/2003 - 08/12/2004 USAA INVESTMENT MANAGEMENT COMPANY (CRD#:5475) SAN ANTONIO, TX
B
07/15/2002 - 09/27/2002 PFS INVESTMENTS INC. (CRD#:10111) DULUTH, GA
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Broker
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Investment Adviser
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.