JV
JV

Jose Valle

21 Years of Experience
Katy, TX
1 DisclosureBroker

Jose Valle is a registered investment advisor, based in Katy, TX, with 21 years of industry experience.

Location

9702 Gaston Road, Katy, TX, 77494

Get directions

History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
June 2022
Denied
Other Business Activities

Jose is an officer of V & V Consortium LLC, an online retail sales and translation business, since May 2023. He provided start-up capital and spends minimal time on this activity.

Employment History
Current Registrations
Cetera Investment Advisers LLC
August 2025 - Present · 9 mos
Cetera Investment Services LLCBroker
August 2025 - Present · 9 mos
Previous Registrations
Strategic Advisers LLC
March 2025 - August 2025 · 5 mos
Fidelity Personal and Workplace Advisors
August 2023 - March 2025 · 1 yr 7 mos
Fidelity Brokerage Services LLCBroker
August 2023 - August 2025 · 2 yrs
Charles Schwab & CO., INC.Broker
January 2022 - August 2023 · 1 yr 7 mos
Charles Schwab & CO., INC.
January 2022 - August 2023 · 1 yr 7 mos
TD Ameritrade, INC.Broker
June 2021 - August 2023 · 2 yrs 2 mos
TD Ameritrade Investment Management, LLC
June 2021 - August 2023 · 2 yrs 2 mos
TD Ameritrade, INC.
June 2021 - October 2022 · 1 yr 4 mos
J.P. Morgan Securities LLC
January 2020 - June 2021 · 1 yr 5 mos
J.P. Morgan Securities LLCBroker
January 2020 - June 2021 · 1 yr 5 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
April 2015 - January 2020 · 4 yrs 9 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
April 2015 - January 2020 · 4 yrs 9 mos
Bbva Wealth Solutions INC.
December 2014 - April 2015 · 4 mos
Bbva Securities INC.Broker
May 2013 - April 2015 · 1 yr 11 mos
Bbva Compass Investment Solutions, INCBroker
May 2011 - May 2013 · 2 yrs
Investment Professionals, INC.Broker
June 2010 - May 2011 · 11 mos
Bbva Compass Investment Solutions, INCBroker
March 2009 - April 2010 · 1 yr 1 mo
Compass Brokerage, INC.Broker
December 2005 - February 2009 · 3 yrs 2 mos
Wm Financial Services, INC.Broker
February 2005 - November 2005 · 9 mos
USAA Investment Management CompanyBroker
October 2003 - August 2004 · 10 mos
PFS Investments INC.Broker
July 2002 - September 2002 · 2 mos
State Registrations14 states
AKALARAZFLGALAMAMIMONYPATNTX
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.