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Current Employers
Valley Wealth Strategies, Llc

404 W. Pine Street Suite 6, Lodi, CA 95240 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2024-07-29
  • TX RA
    APPROVED
    Since 2024-07-29

Branch Locations

2225 E. Randol Mill Road Suite 520, Arlington, TX 76011 • United States

404 W. Pine Street Suite 6, Lodi, CA 95240 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Llc The Colony TX 02/2012 Present
Wealth Enhancement Brokerage Services, Llc Plymouth MN 12/2015 06/2020
Wealth Enhancement Advisory Services, Llc San Clemente CA 01/2016 06/2020
Merit Financial Advisors Frisco TX 06/2020 07/2024
Valley Wealth Strategies, Llc Arlington TX 07/2024 Present
Previous Registrations
  • 2020-06-23 → 2024-08-16
    San Clemente, CA
    Alpharetta, GA
    Frisco, TX
    Wilton, CT
  • 2016-01-11 → 2020-06-22
    Plymouth, MN
    San Clemente, CA
  • 2010-05-14 → 2012-03-16
    Gitterman Wealth Management, Llc
    Edison, NJ
  • 2000-07-05 → 2009-09-10
    Voya Financial Partners, Llc
    Windsor, CT
    Fairfax, VA
    Glastonbury, CT
    Windsor, CT
Other Businesses

1.08/06/2024; Valley Wealth Strategies LLC; Registered Investment Advisor Hybrid; Investment Related; at Reported Business Location(s); Start Date 08/01/2024; 600hrs/mth; 600hrs during trading; 2.08/16/2024; Investment products and services are offered through LPL Financial LLC using the DBA/trade name Zuk Financial Group; Investment Related; at Reported Business Location(s); Start Date 08/01/2024; 600hrs/mth; 600hrs during trading 3.01/09/2025; none; Real Estate Rental; Investment Related; ; Start Date 01/07/2025; 1hrs/mth; 0hrs during trading 4.05/18/2026; David Brounley, LLC; Business Entity For Tax/Investment Purposes Only; Not Investment Related; at Reported Business Location(s); Start Date 05/05/2026; 0hrs/mth; 0hrs during trading

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1995-07-10
S65 Uniform Investment Adviser Law Examination 1995-07-10
  • S63 Uniform Securities Agent State Law Examination
    1995-07-10
  • S65 Uniform Investment Adviser Law Examination
    1995-07-10
Designations

View on SEC IAPD

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