DP
David J. Phillips
VALLEY WEALTH STRATEGIES
Walnut Creek, CA 94596
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CRD#: 2255649
DP
Professional summary
David J Phillips, who also goes by David Jonathan Phillips, is a registered financial advisor currently at VALLEY WEALTH STRATEGIES, LLC located in Walnut Creek, California and LPL FINANCIAL LLC located in Walnut Creek, California.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. David has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 2 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David Jonathan Phillips
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) - Advisor - Start Date 10/7/2009 - 160 Hours Per Month / 160 Hours During Trading.
2. 01/04/2018 - Valley Wealth Strategies, LLC - Investment Related - At Reported Business Lcoation(s) - Registered Investment Advisor Hybrid - IAR - Start Date 10/2017 - 12 Hours Per Month/6 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 12 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 Lcoation(s) - Registered Investment Advisor DBA - IAR - Start Date 10/2017 - 12 Hours Per Month/6 Hours During Securities Trading.
CRS (Client Relationship Summary) - RIA
Click below to view David J Phillips'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
December 12, 2017 - Present
VALLEY WEALTH STRATEGIES, LLC
Office #1: 460 N. Civic Drive Suite 312, Walnut Creek, CA 94596RIA
CRD#: 289737
Walnut Creek, CA
Current
November 29, 2017 - Present
LPL FINANCIAL LLC
Office #1: 460 N Civic Dr Suite 312, Walnut Creek, CA 94596-3346RIA
BD
CRD#: 6413
Walnut Creek, CA
Past
November 29, 2017 - April 4, 2018
LPL FINANCIAL LLC
RIA
CRD#: 6413
WALNUT CREEK, CA
Past
November 16, 2017 - December 31, 2017
VALLEY WEALTH STRATEGIES
RIA
CRD#: 282275
Walnut Creek, CA
Past
November 4, 2009 - November 29, 2017
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
WALNUT CREEK, CA
Past
November 2, 2009 - November 29, 2017
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
WALNUT CREEK, CA
Past
August 13, 2008 - November 3, 2009
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
SAN JOSE, CA
Past
November 7, 2006 - August 13, 2008
PENSION PLANNERS SECURITIES, INC.
BD
CRD#: 14068
SAN JOSE, CA
Past
October 30, 2002 - October 31, 2006
QUEST CAPITAL STRATEGIES, INC.
BD
CRD#: 16783
LAGUNA HILLS, CA
Past
June 14, 2000 - November 7, 2000
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
November 1, 1999 - July 7, 2000
QUEST CAPITAL STRATEGIES, INC.
BD
CRD#: 16783
LAGUNA HILLS, CA
Past
August 24, 1992 - September 2, 1997
DEVELOPMENT CORPORATION FOR ISRAEL
BD
CRD#: 11148
NEW YORK, NY
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
California(11/29/2017)
IAR
California(12/12/2017)
RR
District of Columbia(1/3/2024)
RR
Hawaii(10/13/2020)
RR
Illinois(11/29/2017)
RR
New York(11/29/2017)
RR
Oregon(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
General Industry/Product Exam
RR
Series 2
Date: 8/21/1992
Non-Member General Securities ExaminationSRO 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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Company Information
VALLEY WEALTH STRATEGIES, LLC
CRD#: 289737Walnut Creek, CA 94596TRUST BUT VERIFY
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Contact information
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