Derek Valenzuela, financial advisor Flagstaff AZ
78 score

Derek Valenzuela

CRD Number: 5958346
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Derek Valenzuela (CRD# 5958346) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Flagstaff, AZ and has over 5 years of experience in the finance industry.

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Company Name Location Dates Years
Bank Of America, N.a. Chandler, AZ Aug 2013 - Current 3
Merrill Lynch, Pierce, Fenner & Smith Incorporated Chandler, AZ Jun 2013 - Current 3
J.p. Morgan Securities LLC Phoenix, AZ Oct 2012 - May 2013 < 1
Jpmorgan Chase Bank Phoenix, AZ Dec 2010 - May 2013 2
Chase Investment Services Corp Phoenix, AZ Jul 2011 - Oct 2012 1
Wells Fargo Scottsdale, AZ Aug 2009 - Dec 2010 1
Ron Pina State Farm Insurance Scottsdale, AZ May 2009 - Aug 2009 < 1
Grady Hansen State Farm Insurance Chandler, AZ Apr 2008 - May 2009 1
Arizona State University Tempe, AZ Jan 2008 - Apr 2008 < 1
Jpmorgan Chase Bank Chandler, AZ Dec 2005 - Jan 2008 2
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Aug 2011
S66 NASAA Uniform Combined State Law Examination Sep 2013
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Financial Issue
Get Details on the FINRA Advisor Check site
Contact Info for Derek H. Valenzuela
Phone Number: 800-637-7455
Registered State(s):
  • CA
  • TX
By the Numbers
  • Total Assets Under Management
    575,342
    MILLIONS
  • Total Number of Accounts
    1,715,259
    ACCOUNTS
  • Average Account Value
    $335,425
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
78

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