John J. Zamboanga

INFINITY FINANCIAL SERVICES ADVISORY

Pleasanton, CA 94566

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CRD#: 2554326

Professional summary

John J Zamboanga, who also goes by John Joseph Zamboanga, John Zamboanga, John J Zamboanga, is a registered financial advisor currently at INFINITY FINANCIAL SERVICES ADVISORY located in Pleasanton, California and INFINITY FINANCIAL SERVICES located in Pleasanton, California.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. John has worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John Joseph Zamboanga | John Zamboanga | John J Zamboanga

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) Business Name: DBA Tri-Valley Wealth Management, Address: 574 Caliente Ave, Livermore CA 94550, Investment related, Nature of the business: DBA for securities business; Start date: 02/2024, Title: CEO of Tri-Valley Wealth Management as a DBA, Hours: 160 hours/ month, Occurs during business hours: Yes 120 hours/ month (2) Business Name: Tri-Valley Wealth Management, Address: 574 Caliente Ave, Livermore CA 94550, Investment related, Nature of the business: Independent insurance sales including fixed annuities, insurance policies such as life, health, property, and casualty, etc., Start date: 02/2024, Title: CEO of Tri-Valley Wealth Management as a DBA, Hours: 2 hours per month, Occurs during business hours: No

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John J Zamboanga's CRS (Customer Relationship Summary).

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®

None

Experience

Current

December 11, 2024 - Present

INFINITY FINANCIAL SERVICES ADVISORY

Office #1: 855 Main St. #204, Pleasanton, CA 94566

RIA

CRD#: 304981

Pleasanton, CA

Current

February 17, 2025 - Present

INFINITY FINANCIAL SERVICES

Office #1: 855 Main St. #204, Pleasanton, CA 94566

CRD#: 144302

Pleasanton, CA

Past

February 29, 2024 - December 2, 2024

GOLDEN STATE EQUITY PARTNERS, LLC

RIA

CRD#: 322879

Livermore, CA

Past

February 28, 2020 - January 2, 2024

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

San Jose, CA

Past

February 27, 2020 - January 2, 2024

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

San Jose, CA

Past

October 10, 2018 - October 16, 2019

TRIAD ADVISORS LLC

CRD#: 25803

Pleasanton, CA

Past

October 1, 2018 - November 1, 2019

CONTINUUM ADVISORY, LLC

RIA

CRD#: 283155

Pleasanton, CA

Past

January 26, 2017 - March 8, 2018

SCOTTRADE INVESTMENT MANAGEMENT

RIA

CRD#: 169988

SAINT LOUIS, MO

Past

October 6, 2016 - March 8, 2018

SCOTTRADE, INC.

CRD#: 8206

CASTRO VALLEY, CA

Past

October 9, 2012 - October 3, 2016

TD AMERITRADE, INC.

CRD#: 7870

WALNUT CREEK, CA

Past

September 19, 2012 - October 3, 2016

TD AMERITRADE, INC.

RIA

CRD#: 7870

WALNUT CREEK, CA

Past

September 19, 2012 - October 3, 2016

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

Walnut Creek, CA

Past

January 21, 2011 - September 27, 2012

AVISEN ADVISORS, LLC

RIA

CRD#: 113791

SACRAMENTO, CA

Past

January 6, 2011 - September 26, 2012

AVISEN WEALTH MANAGEMENT, INC.

CRD#: 125977

SACRAMENTO, CA

Past

December 19, 2008 - December 31, 2010

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

SACRAMENTO, CA

Past

December 12, 2008 - December 31, 2010

CETERA WEALTH SERVICES, LLC

CRD#: 13572

SACRAMENTO, CA

Past

August 26, 2005 - November 21, 2008

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

ROSEVILLE, CA

Past

August 26, 2005 - November 21, 2008

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

ROSEVILLE, CA

Past

March 21, 2003 - August 29, 2005

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

ROSEVILLE, CA

Past

March 21, 2003 - August 29, 2005

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

January 11, 2001 - April 2, 2003

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

SAN FRANCISCO, CA

Past

January 5, 2001 - April 2, 2003

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

January 16, 1995 - January 12, 2001

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

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".

INFINITY FINANCIAL SERVICES ADVISORY

CRD#: 304981 / SEC#: 801-117719

RIA

Registered Investment Advisory firm - (12/5/2019 Approved)

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.

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

IAR

California
(12/11/2024)

California
(2/17/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/27/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/18/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/8/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 7/12/2004

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 1/13/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 4/14/2017

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 12/29/2016

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

INFINITY FINANCIAL SERVICES ADVISORY

CRD#: 304981 / SEC#: 801-117719

RIA

Registered Investment Advisory firm - (12/5/2019 Approved)

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Contact information

Main Address

212 9th Street Suite 202, Oakland, CA 94607

Mailing Address

Phone number

(510) 588-8000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (45 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/28/2025)

ADV 2A APPENDIX WRAP BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	918
AUM (Assets Under Management)	$ 150,097,662

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.

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Advisor Monitoring

Firm Stability Insights

John J. Zamboanga

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John J Zamboanga's CRS (Customer Relationship Summary).

Certified licenses

Experience

INFINITY FINANCIAL SERVICES

GOLDEN STATE EQUITY PARTNERS, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

TRIAD ADVISORS LLC

CONTINUUM ADVISORY, LLC

SCOTTRADE INVESTMENT MANAGEMENT

SCOTTRADE, INC.

TD AMERITRADE, INC.

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

AVISEN ADVISORS, LLC

AVISEN WEALTH MANAGEMENT, INC.

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

AMERIPRISE ADVISOR SERVICES, INC.

Primary Firm SEC Registration

INFINITY FINANCIAL SERVICES ADVISORY

State Registrations and Notice Filings

Exams

Series 65

Date: 12/27/2000

Series 63

Date: 1/18/1995

SIE

Date: 3/8/2018

Series 31

Date: 7/12/2004

Series 7

Date: 1/13/1995

Series 10

Date: 4/14/2017

Series 9

Date: 12/29/2016

FINRA

Current Firm

INFINITY FINANCIAL SERVICES ADVISORY

Contact information

SEC notice filing (45 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

INFINITY FINANCIAL SERVICES ADVISORY

TRUST BUT VERIFY

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