David J Phillips

Current Employers

Employment History

• 11/2009 → Present
  National Planning Corporation
  Lake Forest, CA
• 11/2017 → Present
  Valley Wealth Strategies, Llc
  Walnut Creek, CA
• 11/2017 → Present
  Lpl Financial, Llc
  Walnut Creek, CA

Previous Registrations

• 2017-11-16 → 2017-12-31
  Valley Wealth Strategies
  Walnut Creek, CA
• 2009-11-04 → 2017-11-29
  National Planning Corporation
  Lake Forest, CA
  Emeryville, CA
  Walnut Creek, CA

Other Businesses

1. 11/29/2017 - Zuk Financial Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Advisor - Start Date 10/7/2009 - 160 Hours Per Month / 160 Hours During Trading. 2. 01/04/2018 - Valley Wealth Strategies, LLC - Investment Related - At Reported Business Lcoation(s) - Registered Investment Advisor Hybrid - IAR - Start Date 10/2017 - 12 Hours Per Month/6 Hours During Securities Trading - I provide investment advisory services through Valley Wealth Strategies, LLC, an independent investment advisor firm. I started this business activity in 10/2017. I expect to spend approximately 12 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. 01/08/2018 - Valley Wealth Strategies, LLC - DBA: Zuk Financial Group - Investment Related - At Reported Business Lcoation(s) - Registered Investment Advisor DBA - IAR - Start Date 10/2017 - 12 Hours Per Month/6 Hours During Securities Trading.

Exams

• S65 Uniform Investment Adviser Law Examination
  2009-07-16
• S63 Uniform Securities Agent State Law Examination
  1992-07-24

Other Names

• David Jonathan Phillips