Renee M. Snow

ASL FINANCIAL

LOS GATOS, CA 95032

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CRD#: 2565833

Professional summary

Renee Maurine Snow, CFP® is a registered financial advisor currently at ASL FINANCIAL, LLC located in Los Gatos, California and OSAIC WEALTH, INC. located in Los Gatos, California.

Renee is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Renee has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 exams.

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Renee Maurine Snow'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®

CFP^®

Certified Financial Planner

Start date: 2002

Experience

Current

April 5, 2002 - Present

ASL FINANCIAL, LLC

Office #1: 987 University Avenue Suite 8, Los Gatos, CA 95032

RIA

CRD#: 115479

LOS GATOS, CA

Current

September 1, 2023 - Present

OSAIC WEALTH, INC.

Office #1: 987 University Avenue Suite 8, Los Gatos, CA 95032

RIA

CRD#: 23131

LOS GATOS, CA

Past

October 31, 2005 - September 1, 2023

OSAIC SERVICES, INC.

CRD#: 133763

LOS GATOS, CA

Past

May 16, 1997 - October 31, 2005

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

May 28, 1996 - June 23, 1997

FOOTHILL SECURITIES, INC.

CRD#: 1027

SANTA CLARA, CA

Past

March 18, 1995 - July 27, 1995

FOOTHILL SECURITIES, INC.

CRD#: 1027

SANTA CLARA, 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".

ASL FINANCIAL, LLC

ASL FINANCIAL | ASL INVESTMENTS, LLC | ASL FINANCIAL, LLC

CRD#: 115479 / SEC#: 801-121203

RIA

Registered Investment Advisory firm - (5/13/2021 Approved)

California

Registered Investment Advisory firm - (6/16/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Arizona
(9/1/2023)

IAR

California
(4/5/2002)

California
(9/1/2023)

Colorado
(9/1/2023)

Florida
(9/1/2023)

Kansas
(1/20/2026)

Michigan
(4/23/2025)

Montana
(9/1/2023)

Nevada
(9/1/2023)

New Mexico
(6/27/2024)

New York
(9/1/2023)

North Carolina
(9/1/2023)

Ohio
(9/1/2023)

Oregon
(9/1/2023)

South Carolina
(9/1/2023)

IAR

Texas
(5/16/2021)

Texas
(9/1/2023)

Washington
(9/1/2023)

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: 5/20/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/8/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 9/20/1995

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 11/22/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/2/1998

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ASL FINANCIAL, LLC

ASL FINANCIAL | ASL INVESTMENTS, LLC | ASL FINANCIAL, LLC

CRD#: 115479 / SEC#: 801-121203

RIA

Registered Investment Advisory firm - (5/13/2021 Approved)

California

Registered Investment Advisory firm - (6/16/2021 Terminated)

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Contact information

Main Address

987 University Avenue Suite 8, Los Gatos, CA 95032

Mailing Address

Phone number

(408) 283-7256

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURES (1/5/2026)

Regulatory assets under management

Total Number of Accounts	190
AUM (Assets Under Management)	$ 186,708,263

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

Renee M. Snow

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Renee Maurine Snow's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

OSAIC SERVICES, INC.

SUNAMERICA SECURITIES, INC.

FOOTHILL SECURITIES, INC.

FOOTHILL SECURITIES, INC.

Primary Firm SEC Registration

ASL FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/20/1998

Series 63

Date: 12/8/1994

SIE

Date: 10/1/2018

Series 3

Date: 9/20/1995

Series 7

Date: 11/22/1994

Series 24

Date: 4/2/1998

FINRA

Current Firm

ASL FINANCIAL, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ASL FINANCIAL, LLC

TRUST BUT VERIFY

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