JP
Jayne Marie P. Sullivan
VALLEY WEALTH STRATEGIES
Lake Forest, CA 92630
Some features on this profile are disabled
CRD#: 2539896
JP
Professional summary
Jayne Marie P. Sullivan, who also goes by Jayne Marie Ambre, Powers Ambre, Jayne Marie Powers, Jaynemarie Powers, Jayne Marie Sullivan, Jaynemarie P Sullivan, Jaynemarie Powers Sullivan, is a registered financial advisor currently at VALLEY WEALTH STRATEGIES, LLC located in Lake Forest, California and LPL FINANCIAL LLC located in Lake Forest, California.
Jayne Marie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Jayne Marie has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jayne Marie Ambre | Powers Ambre | Jayne Marie Powers | Jaynemarie Powers | Jayne Marie Sullivan | Jaynemarie P Sullivan | Jaynemarie Powers Sullivan
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 - No Business Name - Investment Related - Non-Variable Insurance - Non-Variable Insurance(Life, Disability, LTC and Annuities). 2. 11/29/2017 - ZUK FINANCIAL GROUP - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - FINANCIAL SERVICES - REGISTERED REP/INVESTMENT ADVISOR REP - Start Date 12/18/98. 3. 11/29/2017 - No Business Name - Not Investment Related - San Dimas - Real Estate Rental - Owner, Landlord. 4. 11/29/2017 - GIDDYUP INC - Not Investment Related - LAKE FOREST, CA - Business Entity For Tax/Investment Purposes Only - PRESIDENT - Start Date 06/1996 - GIDDYUP INC - FINANCIAL PLANNING, INVESTMENTS. 5. 1/4/2018 - Valley Wealth Strategies, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 10/2017 - 15 Hours Per Month 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 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. 6. 1/8/2018 - Valley Wealth Strategies, LLC - DBA: (Hybrid) Zuk Financial Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Started 10/2017 - 15 Hours Per Month During Securities Trading - Asset management and financial planning. 7. 08/29/2023 - Real Estate Rental - Landlord - Investment Related - Eugene, OR - Start Date 09/01/2023 - 5 Hours Per Month/ 0 Hours During Trading
CRS (Client Relationship Summary) - RIA
Click below to view Jayne Marie P. Sullivan'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: 22936 El Toro Road, Lake Forest, CA 92630RIA
CRD#: 289737
Lake Forest, CA
Current
November 29, 2017 - Present
LPL FINANCIAL LLC
Office #1: 22936 El Toro Rd, Lake Forest, CA 92630Office #2: 199 S Monte Vista Ave Ste 5, San Dimas, CA 91773RIA
BD
CRD#: 6413
Lake Forest, CA
Past
November 29, 2017 - April 6, 2018
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MILL, SC
Past
May 16, 2017 - December 31, 2017
VALLEY WEALTH STRATEGIES
RIA
CRD#: 282275
Lake Forest, CA
Past
December 28, 2000 - December 6, 2017
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
LAKE FOREST, CA
Past
December 18, 1998 - November 29, 2017
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
LAKE FOREST, CA
Past
May 6, 1996 - August 19, 1998
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
October 26, 1994 - December 18, 1998
ARAGON FINANCIAL SERVICES, INC.
BD
CRD#: 16023
IRVINE, 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
District of Columbia(5/11/2023)
RR
Florida(4/18/2023)
RR
Hawaii(11/29/2017)
RR
Idaho(11/5/2020)
RR
Minnesota(5/17/2022)
RR
Montana(11/29/2017)
RR
Nevada(5/10/2023)
RR
New Mexico(11/29/2017)
RR
New York(11/29/2017)
RR
North Carolina(11/29/2017)
RR
Oklahoma(11/29/2017)
RR
Oregon(11/29/2017)
RR
South Carolina(1/31/2018)
RR
Texas(11/29/2017)
RR
Virginia(11/29/2017)
RR
Washington(11/29/2017)
RR
Wisconsin(11/29/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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#: 289737Lake Forest, CA 92630TRUST BUT VERIFY
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Contact information
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