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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

Richard Carlos Valenzuela

Advisor at J.P. MORGAN SECURITIES LLC

BAKERSFIELD, CA

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Search this name across graphsid dfx:ria:d7a3a2eb-1ce8-edf9-7e8e-00aa19cba47b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:22 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: May 4, 2009 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: J.P. MORGAN SECURITIES LLC
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 2, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66
First exam: May 2, 2009
First registration: May 4, 2009
Dual registered: yes, broker-dealer
Other names: RICHARD VALENZUELA|RICHARD CARLOS VALENZUELA|RICHARD C VALENZUELA
IAPD individual key: 5614325

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
J.P. MORGAN SECURITIES LLC	Wirehouse	Jan 31, 2025	n/a	yes	BAKERSFIELD, CA\|BAKERSFIELD, CA	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Sep 19, 2014	Jan 27, 2025	no	MANTECA, CA\|MANTECA, CA\|MANTECA, CA\|LIVERMORE, CA\|TRACY, CA\|MODESTO, CA\|TRACY, CA\|TRACY, CA\|MODESTO, CA\|BAKERSFIELD, CA\|BAKERSFIELD, CA\|BAKERSFIELD, CA\|BAKERSFIELD, CA\|BAKERSFIELD, CA\|BAKERSFIELD, CA	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Oct 1, 2012	Aug 7, 2014	no	STOCKTON, CA\|STOCKTON, CA	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Apr 25, 2011	Oct 1, 2012	no	STOCKTON, CA\|STOCKTON, CA	Previous registration
WADDELL & REED	Former SEC adviser	May 4, 2009	Mar 21, 2011	no	STOCKTON, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	J.P. MORGAN SECURITIES LLC	Jan 27, 2025	Jan 31, 2025	4	Firm change	Wirehouse to wirehouse
J.P. MORGAN SECURITIES LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Aug 7, 2014	Sep 19, 2014	43	Firm change	Wirehouse to wirehouse
CHASE INVESTMENT SERVICES CORP.	J.P. MORGAN SECURITIES LLC	Oct 1, 2012	Oct 1, 2012	0	Bulk transfer	Other
WADDELL & REED	CHASE INVESTMENT SERVICES CORP.	Mar 21, 2011	Apr 25, 2011	35	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
7691:79:CA:2025-01-02	Jan 27, 2025	Jan 31, 2025	BAKERSFIELD, CA	Firm change

Relationships

Registered with (4)

→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Oct 1, 2012 to Aug 7, 2014factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Sep 19, 2014 to Jan 27, 2025factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Apr 25, 2011 to Oct 1, 2012factForm ADV
→ WADDELL & REEDRegistered adviserregistration: previous registration
May 4, 2009 to Mar 21, 2011factForm ADV

Dated events

Occurred
Jan 27, 2025
Advisor changed firm
Richard Carlos Valenzuela left Merrill Lynch, Pierce, Fenner & Smith Incorporated for J.P. Morgan Securities Llc (registered 2025-01-31)
Form ADVobserved 4 days ago