Robert F. Hornaday

VALLEY WEALTH STRATEGIES

Briarcliff, TX

Some features on this profile are disabled

CRD#: 1066024

Professional summary

Robert Francis Hornaday, who also goes by Bob Hornaday, is a registered financial advisor currently at VALLEY WEALTH STRATEGIES, LLC located in Briarcliff, Texas.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Robert has worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 22, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bob Hornaday

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. 11/29/2017 - ZUK FINANCIAL GROUP - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - 200 Hours Per Month/160 Hours During Securities Trading. 2. 11/29/2017 - ENVOY PLAN SERVICES - Investment Related - 23052-H Alicia Pkwy, #605 Mission Viejo 92692 - Third Party Administrator (TPA) - PRESIDENT - Start Date 09/21/09 - 100 Hours Per Month - Time Spent 50% - RETIREMENT PLAN ADMINISTRATION. 3. 11/29/2017 - PLAN MEMBER FIN CORP - Not Investment Related - Other - CLIENT RELATIONSHIP MANAGEMENT - Start Date 09/22/09 - 2 Hours Per Month - SECURITIES TRAIL COMMISSIONER. 4. 11/29/2017 - ROBERT HORNADAY - Investment Related - 901 CALLE AMANECER #200, SAN CLEMENTE , CA 92673 - Non-Variable Insurance - Start Date 09/22/09 - 5 Hours Per Month - FIXED ANNUITIES. 5. 4/2/2018 - Valley Wealth Strategies, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 02/27/2018 - 5 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 02/2018. I expect to spend approximately 5 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. 6. 4/2/2018 - Valley Wealth Strategies, LLC - DBA: (Hybrid) Zuk Financial - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Started 02/27/2018 - 5 Hours Per Month During Securities Trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Francis Hornaday's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 2, 2018 - Present

VALLEY WEALTH STRATEGIES, LLC

RIA

CRD#: 289737

Briarcliff, TX

Past

June 18, 2018 - February 22, 2024

LPL FINANCIAL LLC

RIA

CRD#: 6413

BRIARCLIFF, TX

Past

November 29, 2017 - March 23, 2018

LPL FINANCIAL LLC

RIA

CRD#: 6413

BRIARCLIFF, TX

Past

November 29, 2017 - February 22, 2024

LPL FINANCIAL LLC

CRD#: 6413

BRIARCLIFF, TX

Past

October 9, 2009 - November 29, 2017

NATIONAL PLANNING CORPORATION

CRD#: 29604

BRIARCLIFF, TX

Past

September 23, 2009 - November 29, 2017

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

BRIARCLIFF, TX

Past

March 16, 2006 - September 15, 2009

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

SAN CLEMENTE, CA

Past

March 1, 2006 - September 15, 2009

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

SAN CLEMENTE, CA

Past

October 25, 2004 - March 22, 2006

WORTHMARK FINANCIAL SERVICES, LLC

RIA

CRD#: 47086

SAN CLEMENTE, CA

Past

October 25, 2004 - March 22, 2006

WORTHMARK FINANCIAL SERVICES, LLC

CRD#: 47086

SAN CLEMENTE, CA

Past

January 9, 2003 - December 2, 2004

PLANMEMBER SECURITIES CORPORATION

RIA

CRD#: 11869

LAGUNA NIGUEL, CA

Past

January 9, 2003 - December 2, 2004

PLANMEMBER SECURITIES CORPORATION

CRD#: 11869

CARPINTERIA, CA

Past

March 10, 2002 - December 31, 2002

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

LAGUNA NIGUEL, CA

Past

March 3, 2000 - December 31, 2002

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

December 24, 1996 - March 8, 2000

SENTRA SECURITIES CORPORATION

CRD#: 10249

PHOENIX, AZ

Past

May 17, 1994 - May 14, 1997

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

May 2, 1990 - February 1, 1996

ARAGON FINANCIAL SERVICES, INC.

CRD#: 16023

IRVINE, CA

Past

December 17, 1983 - June 7, 1990

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

July 11, 1983 - January 2, 1988

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY

CRD#: 2682

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

VALLEY WEALTH STRATEGIES, LLC

DRUMMOND & ASSOCIATES | ZUK FINANCIAL GROUP | VWS | VALLEY WEALTH STRATEGIES, LLC

CRD#: 289737 / SEC#: 801-113081

RIA

Registered Investment Advisory firm - (4/27/2018 Approved)

California

Registered Investment Advisory firm - (6/1/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(3/2/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 3/24/1997

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 6/25/1996

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/26/1996

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 2/22/1984

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 7/8/1983

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/18/1997

General Securities Principal Examination

Current Firm

VALLEY WEALTH STRATEGIES, LLC

DRUMMOND & ASSOCIATES | ZUK FINANCIAL GROUP | VWS | VALLEY WEALTH STRATEGIES, LLC

CRD#: 289737 / SEC#: 801-113081

RIA

Registered Investment Advisory firm - (4/27/2018 Approved)

California

Registered Investment Advisory firm - (6/1/2018 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

404 W. Pine Street Suite 6, Lodi, CA 95240

Mailing Address

Phone number

(209) 366-1264

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (20 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

VWS FORM ADV 2A FIRM BROCHURE (2/20/2025)

Regulatory assets under management

Total Number of Accounts	8,131
AUM (Assets Under Management)	$ 1,205,186,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Robert F. Hornaday

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Francis Hornaday's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

INDEPENDENT FINANCIAL GROUP, LLC

INDEPENDENT FINANCIAL GROUP, LLC

WORTHMARK FINANCIAL SERVICES, LLC

WORTHMARK FINANCIAL SERVICES, LLC

PLANMEMBER SECURITIES CORPORATION

PLANMEMBER SECURITIES CORPORATION

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

SENTRA SECURITIES CORPORATION

VOYA FINANCIAL ADVISORS, INC.

ARAGON FINANCIAL SERVICES, INC.

MML INVESTORS SERVICES, LLC

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY

Primary Firm SEC Registration

VALLEY WEALTH STRATEGIES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/24/1997

Series 65

Date: 6/25/1996

SIE

Date: 10/1/2018

Series 7

Date: 4/26/1996

Series 22

Date: 2/22/1984

Series 6

Date: 7/8/1983

Series 24

Date: 3/18/1997

Current Firm

VALLEY WEALTH STRATEGIES, LLC

Contact information

SEC notice filing (20 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VALLEY WEALTH STRATEGIES, LLC

TRUST BUT VERIFY

Contact information

Similar Advisors