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Carlos Miguel Batista Gutierrez

Valley Financial Management, Inc.

New York, NY

Valley Wealth Managers, Inc.

New York, NY

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Current Employers
Valley Financial Management, Inc.

350 Madison Ave. Compliance 4Th Floor, New York, NY 10017 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2026-06-23
  • NY RA
    APPROVED
    Since 2026-06-23

Branch Locations

350 Madison Ave. 4Th Floor, Compliance Department, New York, NY 10017 • USA

Valley Wealth Managers, Inc.

80 East Ridgewood Ave Suite 3, Paramus, NJ 07652 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2026-06-11
  • NY RA
    APPROVED
    Since 2026-06-11

Branch Locations

350 Madison Avenue 4Th Floor, New York, NY 10017 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
One Stop Multi Service Inc Woodside NY 01/2014 08/2018
Sterling National Bank Elmhurst NY 07/2017 09/2018
Jpmorgan Chase Bank, N.A. Jackson Heights NY 09/2018 02/2021
Jpmorgan Securities Llc. Jackson Heights NY 09/2018 02/2021
Merrill Lynch, Pierce, Fenner & Smith Incorporated Springfield Gardens NY 09/2021 12/2021
Purdue University Global Chicago IL 08/2020 07/2021
Unemployed New York NY 08/2021 09/2021
Bank Of America, N.A. Springfield Gardens NY 11/2021 12/2021
Fidelity Investments Garden City NY 01/2022 10/2022
Neuberger Berman New York City NY 10/2022 05/2026
Valley Financial Management New York NY 06/2026 Present
Valley Wealth Managers New York NY 06/2026 Present
  • 01/2014 → 08/2018
    One Stop Multi Service Inc
    Woodside, NY
  • 07/2017 → 09/2018
    Sterling National Bank
    Elmhurst, NY
  • 09/2018 → 02/2021
    Jpmorgan Chase Bank, N.A.
    Jackson Heights, NY
  • 09/2018 → 02/2021
    Jpmorgan Securities Llc.
    Jackson Heights, NY
  • 09/2021 → 12/2021
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Springfield Gardens, NY
  • 08/2020 → 07/2021
    Purdue University Global
    Chicago, IL
  • 08/2021 → 09/2021
    Unemployed
    New York, NY
  • 11/2021 → 12/2021
    Bank Of America, N.A.
    Springfield Gardens, NY
  • 01/2022 → 10/2022
    Fidelity Investments
    Garden City, NY
  • 10/2022 → 05/2026
    Neuberger Berman
    New York City, NY
  • 06/2026 → Present
    Valley Financial Management
    New York, NY
  • 06/2026 → Present
    Valley Wealth Managers
    New York, NY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-02-24
S63 Uniform Securities Agent State Law Examination 2018-11-30
  • S66 Uniform Combined State Law Examination
    2023-02-24
  • S63 Uniform Securities Agent State Law Examination
    2018-11-30
Other Names
  • Carlos M Batista
  • Carlos M Gutierrez
  • Carlos Gutierrez
  • Carlos Miguel Batista Gutierrez
  • Carlos Batista
  • Carlos Miguel Gutierrez
  • Carlos Miguel Batista
  • Carlos Batistagutierrez

View on SEC IAPD

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