KK
Kelly A. Kruzick
VALLEY WEALTH STRATEGIES
Santa Monica, CA 90401
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CRD#: 1787489
KK
Professional summary
Kelly Ann Kruzick is a registered financial advisor currently at VALLEY WEALTH STRATEGIES, LLC located in Santa Monica, California and LPL FINANCIAL LLC located in Santa Monica, California.
Kelly is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Kelly has worked at 7 firms and has passed the Series 63, Series 65, SIE and Series 7 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. 11/29/2017 - Zuk Financial Group - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Investment Advisor Representative - Start Date 11/18/2010 - 45 Hours Per Month - Zuk Financial Group - Fixed life, annuities, LTC.
2. 11/29/2017 - No Business Name - Not Investment Related - Venice CA 90291 - Other - Health and wellness/meditation teacher - Start Date 8/1/17 - 20 Hours Per Month.
3. 11/29/2017 - Citadel Law Firm - Not Investment Related - At Reported Business Location(s) - Other - Paralegal Assistance - Start Date 11/18/2010 - 2 Hours Per Month - Citadel Law Firm - Paralegal Assistance.
4. 01/04/2018 - Valley Wealth Strategies, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date 7/20/17 - 15 Hours Per Month/15 Hours During Securities - I provide investment advisory services through Valley Wealth Strategies, LLC, an independent investment advisor firm. I started this business activity in 07/2017. I expect to spend approximately 15 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.
5. 01/08/2018 - Valley Wealth Strategies, LLC - DBA: Zuk Financial Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Start Date 07/2017 - 15 Hours Per Month/15 Hours During Securities.
6. 01/18/2018 - Zuk Financial Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business).
CRS (Client Relationship Summary) - RIA
Click below to view Kelly Ann Kruzick's 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®
NoneExperience
Current
October 20, 2017 - Present
VALLEY WEALTH STRATEGIES, LLC
Office #1: 1247 7th Street #301, Santa Monica, CA 90401RIA
CRD#: 289737
Santa Monica, CA
Current
November 29, 2017 - Present
LPL FINANCIAL LLC
Office #1: 1247 7th St Ste 301, Santa Monica, CA 90401-1644RIA
BD
CRD#: 6413
SANTA MONICA, CA
Past
November 29, 2017 - April 4, 2018
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MILL, SC
Past
July 12, 2017 - December 31, 2017
VALLEY WEALTH STRATEGIES
RIA
CRD#: 282275
Santa Monica, CA
Past
June 15, 1999 - November 29, 2017
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
SANTA MONICA, CA
Past
December 18, 1998 - November 29, 2017
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
SANTA MONICA, CA
Past
May 6, 1996 - August 19, 1998
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
March 31, 1994 - December 18, 1998
ARAGON FINANCIAL SERVICES, INC.
BD
CRD#: 16023
IRVINE, CA
Past
January 19, 1988 - March 28, 1994
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
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".
VW
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)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.RR
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
RR
Arizona(11/29/2017)
IAR
California(10/20/2017)
RR
California(11/29/2017)
RR
Colorado(11/29/2017)
RR
Florida(8/28/2023)
RR
Idaho(11/29/2017)
RR
Michigan(11/29/2017)
RR
Minnesota(11/29/2017)
RR
Montana(11/29/2017)
RR
Nevada(11/29/2017)
RR
New York(2/1/2021)
RR
Oregon(11/29/2017)
RR
Texas(11/29/2017)
RR
Utah(10/5/2020)
RR
Virginia(2/27/2024)
RR
Washington(11/29/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VW
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
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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
30
SEC notice filing (20 States and Territories)
Documents
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.
