OS
Oscar Sasson
VALLEY WEALTH STRATEGIES
Menlo Park, CA 94025
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CRD#: 2083378
OS
Professional summary
Oscar Sasson, who also goes by Oscar Nmn Sasson, is a registered financial advisor currently at VALLEY WEALTH STRATEGIES, LLC located in Menlo Park, California and LPL FINANCIAL LLC located in Menlo Park, California.
Oscar is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Oscar has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Oscar Nmn Sasson
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) - Start Date 12/18/1998.
2. 01/05/2018 - Valley Wealth Strategies, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date 10/2017 - 10 Hours Per Month/10 Hours During Securities Trading - I provide investment advisory services through Valley Wealth Strategies, LLC, an independent investment advisor firm. I started this business activity in 10/2017. I expect to spend approximately 10 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.
3. 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 10/2017 - 10 Hours Per Month/10 Hours During Securities Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Oscar Sasson'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
January 4, 2018 - Present
VALLEY WEALTH STRATEGIES, LLC
Office #1: 535 Middlefield Road Suite 140, Menlo Park, CA 94025RIA
CRD#: 289737
Menlo Park, CA
Current
November 29, 2017 - Present
LPL FINANCIAL LLC
Office #1: 535 Middlefield Rd Ste 140, Menlo Park, CA 94025RIA
BD
CRD#: 6413
MENLO PARK, CA
Past
January 3, 2019 - October 28, 2022
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MILL, SC
Past
November 29, 2017 - April 4, 2018
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MILL, SC
Past
October 25, 2017 - December 31, 2017
VALLEY WEALTH STRATEGIES
RIA
CRD#: 282275
Menlo Park, CA
Past
March 5, 1999 - November 29, 2017
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
MENLO PARK, CA
Past
December 18, 1998 - November 29, 2017
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
MENLO PARK, CA
Past
April 24, 1996 - August 19, 1998
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
April 19, 1994 - December 18, 1998
ARAGON FINANCIAL SERVICES, INC.
BD
CRD#: 16023
IRVINE, CA
Past
September 14, 1990 - 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)
RR
California(11/29/2017)
IAR
California(1/4/2018)
RR
Colorado(9/9/2020)
RR
Hawaii(11/29/2017)
RR
Idaho(11/29/2017)
RR
Kansas(9/14/2020)
RR
Massachusetts(11/29/2017)
RR
Michigan(10/14/2019)
RR
Missouri(11/29/2017)
RR
Nevada(11/29/2017)
RR
New Mexico(9/8/2020)
RR
Oklahoma(11/15/2021)
RR
Oregon(11/29/2017)
RR
Rhode Island(10/26/2022)
RR
South Carolina(9/28/2023)
RR
Texas(11/29/2017)
RR
Utah(11/29/2017)
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
VALLEY WEALTH STRATEGIES, LLC
CRD#: 289737Menlo Park, CA 94025TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
