Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Paul? Claim Your ProfilePaul John Valdes is a financial professional with over 28 years of experience in the financial services industry. Paul has a strong background in securities and investments, and is currently registered with Charles Schwab & Co., Inc. as a Registered Representative (RA). Paul has passed the Series 7TO, Series 7, Series 63, and Series 65 exams, and is knowledgeable about various investment products and strategies.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
NY
07/26/2024 - Present
Charles Schwab & CO., Inc. (New York City NY)
IL
06/13/2014 - 08/07/2020
NUVEEN SECURITIES, LLC (CHICAGO IL)
IA
08/17/2011 - 06/03/2014
PRINCIPAL FUNDS DISTRIBUTOR, INC. (DES MOINES IA)
CO
07/14/2009 - 10/25/2010
TRANSAMERICA CAPITAL, INC. (DENVER CO)
CA
12/15/2006 - 02/10/2009
PACIFIC SELECT DISTRIBUTORS, INC. (NEWPORT BEACH CA)
NC
04/13/1998 - 12/01/2006
EVERGREEN INVESTMENT SERVICES, INC. (CHARLOTTE NC)
NC
11/21/1996 - 12/09/1997
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
NY
04/10/1992 - 10/25/1996
ICON SECURITIES CORP. (NEW YORK NY)
BC
Issued 08/23/2024
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 11/20/2014
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/08/2022
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/08/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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