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404 W. Pine Street Suite 6, Lodi, CA 95240 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2017-10-20 |
Branch Locations
316 S. Stewart Street Suite #1, Sonora, CA 95370 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| National Planning Corporation | Emeryville | CA | 09/2009 | 11/2017 |
| Valley Wealth Strategies, Llc | Sonora | CA | 05/2017 | Present |
| Lpl Financial Llc | Sonora | CA | 11/2017 | Present |
1. 11/29/2017 - No Business Name - Not Investment Related - SONORA, CA - Real Estate Rental - PROPERTY OWNER - Start Date 10/1/07 - 2 Hours Per Month. 2. 1/4/2018 - Valley Wealth Strategies, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 5/1/2017 - 60 Hours Per Month During Securities Trading - I provide investment advisory services through Valley Wealth Strategies, LLC, an independent investment advisor firm. I started this business activity in 05/2017. I expect to spend approximately 60 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3. 1/8/2018 - Valley Wealth Strategies, LLC - DBA: (Hybrid) Zuk Financial Group - Investment Related - At Reported Business Location(s) - IAR - Started 01/2017 - 60 Hours Per Month/50 Hours During Securities Trading - Asset management and financial planning. 4. 1/18/2018 - Zuk Financial Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 01/11/2018 - 120 Hours Per Month/80 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-08-06 |
| S63 | Uniform Securities Agent State Law Examination | 2004-08-17 |
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