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PH

Patricia J. Handy

Some features on this profile are disabled
CRD#: 1939269
PH

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Patricia Jo Handy, who also goes by Patricia J Gonzalez, Patricia Jo Gonzalez, Patricia Jo Handy, was a registered financial professional .

Patricia is a previously registered financial professional and started their career in finance in 1989. Patricia had worked at 7 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 6 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Patricia J Gonzalez | Patricia Jo Gonzalez | Patricia Jo Handy

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. Self-Employed, Certified Executive Coach, Santa Clarita, CA; non-investment related; self-improvement and success coach; not currently using or promoting; 0 hrs/mo devoted and 0 hrs/mo during trading. 2. Self-Employed, Author, Santa Clarita, CA; non-investment related; 0 hrs/mo devoted and 0 hrs/mo during trading.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 22, 2020 - April 20, 2023

VANCE WEALTH

RIA
CRD#: 310162
SANTA CLARITA, CA
Past

May 19, 2020 - October 2, 2020

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA
CRD#: 149018
Santa Clarita, CA
Past

May 18, 2020 - October 2, 2020

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
SANTA CLARITA, CA
Past

December 7, 2011 - February 1, 2013

NATIONAL PLANNING CORPORATION

BD
CRD#: 29604
VALENCIA, CA
Past

February 10, 1997 - May 28, 1997

INTERFIRST CAPITAL CORPORATION

BD
CRD#: 7659
LOS ANGELES, CA
Past

June 4, 1993 - February 7, 1995

MONTANO SECURITIES CORPORATION

BD
CRD#: 7887
ORANGE, CA
Past

April 5, 1991 - November 14, 1991

GLOBALVEST SECURITIES, (USA), INC

BD
CRD#: 15458
CLEARWATER, FL
Past

April 18, 1989 - April 27, 1989

GLOBALVEST SECURITIES, (USA), INC

BD
CRD#: 15458
CLEARWATER, FL

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
VANCE WEALTH
ADVANCED 401K SOLUTIONS | VANCE WEALTH, LLC | VANCE WEALTH, INC. | VANCE WEALTH GROUP, INC. | VANCE WEALTH

CRD#: 310162 / SEC#: 801-119423

RIA
Registered Investment Advisory firm - (9/9/2020 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/30/2019
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/21/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 5/18/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/30/2019
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 12/6/2011
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 4/15/1989
General Securities Representative Examination

Current Firm

VW
VANCE WEALTH
ADVANCED 401K SOLUTIONS | VANCE WEALTH, LLC | VANCE WEALTH, INC. | VANCE WEALTH GROUP, INC. | VANCE WEALTH

CRD#: 310162 / SEC#: 801-119423

RIA
Registered Investment Advisory firm - (9/9/2020 Approved)
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Contact information

Main Address
26491 Summit Circle, Santa Clarita, CA 91350
Mailing Address
Phone number
(888) 775-0950
Established
Firm type
Fiscal year end
# of Employees
19

SEC notice filing (10 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

VANCE WEALTH DISCLOSURE BROCHURE (9/11/2025)

Regulatory assets under management

Total Number of Accounts1,481
AUM (Assets Under Management)$ 736,109,579

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.

Company Information

VANCE WEALTH

CRD#: 310162

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