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Paul John Valdes

Charles Schwab & Co., Inc.

New York City, NY

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Current Employers
Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2024-07-26
  • NY RA
    APPROVED
    Since 2024-07-26

Branch Locations

915 Broadway Ground Floor, New York City, NY 10010 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Nuveen Securities, Llc Chicago IL 06/2014 11/2020
Beacon Pointe Advisors, Llc Summit NJ 05/2021 01/2024
Unemployed South Salem NY 08/2020 05/2021
Charles Schwab & Co., Inc. New York NY 07/2024 Present
Unemployed South Salem NY 01/2024 07/2024
Charles Schwab Bank New York NY 07/2024 Present
  • 06/2014 → 11/2020
    Nuveen Securities, Llc
    Chicago, IL
  • 05/2021 → 01/2024
    Beacon Pointe Advisors, Llc
    Summit, NJ
  • 08/2020 → 05/2021
    Unemployed
    South Salem, NY
  • 07/2024 → Present
    Charles Schwab & Co., Inc.
    New York, NY
  • 01/2024 → 07/2024
    Unemployed
    South Salem, NY
  • 07/2024 → Present
    Charles Schwab Bank
    New York, NY
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2024-08-23
S65 Uniform Investment Adviser Law Examination 2014-11-20
  • S63 Uniform Securities Agent State Law Examination
    2024-08-23
  • S65 Uniform Investment Adviser Law Examination
    2014-11-20

View on SEC IAPD

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