Paul John Valdes

CRD 2209116 · Charles Schwab & Co., Inc. · New York City, NY

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 7TOSIESeries 7Series 63Series 65
Registered states (13): California · Colorado · Connecticut · Florida · Maryland · Massachusetts · New Jersey · New York · Oregon · Pennsylvania · Texas · Virginia · Washington
Years in the industry (source record): 31
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 2209116 contains one or more disclosure events as of Aug 20, 2026.

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Current firm

From the firm record

Firm: Charles Schwab & Co., Inc.
Firm CRD: 5393
SEC number: 801-29938
Assets under management: Not yet retrieved from the source record
Website: www.linkedin.com/COMPANY/SCHWAB-ADVISOR-SERVICES ↗
Phone: 415-667-7000
Firm location: San Francisco, CA, 94105

Employment history (11)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
New York City, NY · IA capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
New York City, NY · BC capacity

start not retrieved → present
Beacon Pointe Advisors, LLC
Summit, NJ · IA capacity

May 7, 2021 → Jan 29, 2024
Nuveen Asset Management, LLC
South Salem, NY · IA capacity

Nov 24, 2014 → Aug 7, 2020
Nuveen Securities, LLC
Chicago, IL · BC capacity

Jun 13, 2014 → Aug 7, 2020
Principal Funds Distributor, Inc.
Des Moines, IA · BC capacity

Aug 17, 2011 → Jun 3, 2014
Transamerica Capital, Inc.
Denver, CO · BC capacity

Jul 14, 2009 → Oct 25, 2010
Pacific Select Distributors, Inc.
Newport Beach, CA · BC capacity

Dec 15, 2006 → Feb 10, 2009
Evergreen Investment Services, Inc.
Charlotte, NC · BC capacity

Apr 13, 1998 → Dec 1, 2006
First Union Brokerage Services, Inc.
Charlotte, NC · BC capacity

Nov 21, 1996 → Dec 9, 1997
Icon Securities Corp.
New York, NY · BC capacity

Apr 10, 1992 → Oct 25, 1996

Source & corrections

Where this page comes from

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