David A. Brounley

VALLEY WEALTH STRATEGIES

ARLINGTON, TX 76011

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CRD#: 1190936

Professional summary

David Allen Brounley, AIF®, CFP® is a registered financial advisor currently at VALLEY WEALTH STRATEGIES, LLC located in Arlington, Texas and LPL FINANCIAL LLC located in Arlington, Texas.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. David has worked at 12 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 22, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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. 08/06/2024 - Valley Wealth Strategies LLC - Registered Investment Advisor Hybrid - IAR - Investment Related - At Reported Business Location(s) - Start Date 07/22/2024 - 600 Hours Per Month/ During Trading - I provide investment advisory services through Valley Wealth Strategies LLC, an independent investment advisor firm. I started this business activity in 7/2024. I expect to spend approximately 600 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. 2. 08/16/2024 - Zuk Financial Group - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 07/22/2024 - 600 Hours Per Month/ During Trading 3) 01/09/2025 - David BROUNLEY - Investment Related - Real Estate Rental - Frisco TX - Start Date:01/01/2024 - 1 Hrs/Mth - 0 Hrs During Trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Allen Brounley'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®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

Start date: 1988

Experience

Current

July 29, 2024 - Present

VALLEY WEALTH STRATEGIES, LLC

Office #1: 2225 E. Randol Mill Road Suite 520, Arlington, TX 76011

RIA

CRD#: 289737

ARLINGTON, TX

Current

March 19, 2012 - Present

LPL FINANCIAL LLC

Office #1: 2225 E. Randol Mill Rd Ste 520, Arlington, TX 76011

RIA

CRD#: 6413

ARLINGTON, TX

Past

June 23, 2020 - August 16, 2024

MERIT FINANCIAL ADVISORS

RIA

CRD#: 142457

Frisco, TX

Past

January 11, 2016 - June 22, 2020

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

RIA

CRD#: 116407

San Clemente, CA

Past

December 4, 2015 - June 22, 2020

WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC

CRD#: 130139

PLYMOUTH, MN

Past

March 19, 2012 - December 31, 2015

LPL FINANCIAL LLC

RIA

CRD#: 6413

LODI, CA

Past

May 14, 2010 - March 16, 2012

GITTERMAN WEALTH MANAGEMENT, LLC

RIA

CRD#: 153062

ISELIN, NJ

Past

April 15, 2010 - March 1, 2012

TRIAD ADVISORS LLC

CRD#: 25803

ISELIN, NJ

Past

July 5, 2000 - September 10, 2009

VOYA FINANCIAL PARTNERS, LLC

RIA

CRD#: 34815

WINDSOR, CT

Past

July 30, 1999 - December 31, 2000

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

November 25, 1997 - September 10, 2009

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

WINDSOR, CT

Past

April 25, 1997 - September 25, 2000

AETNA FINANCIAL SERVICES, INC.

CRD#: 13255

HARTFORD, CT

Past

September 29, 1983 - December 24, 1986

AMERICAN EXPRESS FINANCIAL CORPORATION

CRD#: 6320

Past

September 29, 1983 - March 27, 1997

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(12/13/2022)

California
(3/19/2012)

Colorado
(9/23/2022)

Connecticut
(2/7/2023)

Florida
(2/7/2023)

Georgia
(3/9/2023)

Iowa
(1/9/2023)

Kansas
(3/9/2023)

Kentucky
(3/9/2023)

Louisiana
(7/27/2023)

Maine
(3/9/2023)

Maryland
(7/27/2023)

Michigan
(3/9/2023)

Minnesota
(3/9/2023)

New Jersey
(7/27/2023)

New Mexico
(3/9/2023)

New York
(3/9/2023)

North Carolina
(1/10/2023)

Ohio
(9/26/2022)

Oklahoma
(9/23/2022)

South Carolina
(3/9/2023)

Texas
(3/3/2022)

IAR

Texas
(7/29/2024)

Virginia
(9/23/2022)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/10/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/10/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/16/1985

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 4/10/1984

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 9/28/1983

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/19/1993

General Securities Principal Examination

SRO Registrations

FINRA

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)

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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.

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Firm Stability Insights

David A. Brounley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Allen Brounley's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

MERIT FINANCIAL ADVISORS

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC

LPL FINANCIAL LLC

GITTERMAN WEALTH MANAGEMENT, LLC

TRIAD ADVISORS LLC

VOYA FINANCIAL PARTNERS, LLC

CETERA WEALTH SERVICES, LLC

VOYA FINANCIAL PARTNERS, LLC

AETNA FINANCIAL SERVICES, INC.

AMERICAN EXPRESS FINANCIAL CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

VALLEY WEALTH STRATEGIES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/10/1995

Series 63

Date: 7/10/1995

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 11/16/1985

Series 22

Date: 4/10/1984

Series 6

Date: 9/28/1983

Series 24

Date: 5/19/1993

FINRA

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

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