OV
Oscar A. Vallera
Some features on this profile are disabled
CRD#: 2870121
OV
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Oscar Anthony Vallera, who also goes by Anthony Gerald Vallera, Tony Vallera, was a registered financial professional .
Oscar is a previously registered financial professional and started their career in finance in 1997. Oscar had worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Anthony Gerald Vallera | Tony Vallera
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.
PENINSULA MUSIC FESTIVAL
POSITION: BOARD MEMBER NATURE: Arts, Entertainment, and Recreation INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 05/20/2017
ADDRESS: 10347 N WATER ST, SUITE B, EPHRAIM WI 54211, United States
DESCRIPTION: ATTEND MEETINGS,PLAN EVENTS,DISCUSS SCHEDULING AND FUND RAISING, GENERAL ACTIVITIES OF THE FESTIVAL, FP DOES NOT HAVE ACCESS OR CONTROL OF ANY FUNDS.
THE FRIENDS
POSITION: BAND MEMBER NATURE: BAND INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 10/10/1979
ADDRESS: 640 GROVE ST, OSHKOSH WI 54901, United States
DESCRIPTION: PLAY MUSIC TO GENERAL PUBLIC
VALLERA CAPITAL MANAGEMENT
424 S MONROE SUITE 100 GREEN BAY, WI 54301
FIXED INSURANCE SALES; LIFE INSURANCE, LTC AND FIXED/FIXED INDEXED ANNUITIES
01/01/2020
NON-INVESTMENT RELATED
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
January 2, 2020 - December 31, 2023
PACKERLAND BROKERAGE SERVICES, INC.
RIA
CRD#: 37031
GREEN BAY, WI
Past
January 2, 2020 - December 31, 2023
PACKERLAND BROKERAGE SERVICES, INC.
BD
CRD#: 37031
GREEN BAY, WI
Past
November 18, 2019 - January 7, 2020
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Green Bay, WI
Past
November 18, 2019 - January 7, 2020
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Green Bay, WI
Past
April 3, 2013 - November 15, 2019
PACKERLAND BROKERAGE SERVICES, INC.
RIA
CRD#: 37031
Green Bay, WI
Past
April 3, 2013 - November 15, 2019
PACKERLAND BROKERAGE SERVICES, INC.
BD
CRD#: 37031
Green Bay, WI
Past
April 29, 2005 - March 14, 2013
PACKERLAND BROKERAGE SERVICES, INC.
RIA
CRD#: 37031
GREEN BAY, WI
Past
April 29, 2005 - March 14, 2013
PACKERLAND BROKERAGE SERVICES, INC.
BD
CRD#: 37031
GREEN BAY, WI
Past
May 19, 1997 - May 5, 2005
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
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".
PB
PACKERLAND BROKERAGE SERVICES, INC.
PACKERLAND BROKERAGE SERVICES, INC.
CRD#: 37031 / SEC#: 801-74927, 8-47572
RIA
Registered Investment Advisory firm - SEC (5/1/2012 Approved)Arizona
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Arkansas
Registered Investment Advisory firm - SEC (2/27/2009 Terminated)California
Registered Investment Advisory firm - SEC (5/22/2012 Terminated)Florida
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Illinois
Registered Investment Advisory firm - SEC (5/1/2012 Terminated)Indiana
Registered Investment Advisory firm - SEC (5/14/2012 Terminated)Iowa
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Kansas
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Minnesota
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Missouri
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Montana
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)New Jersey
Registered Investment Advisory firm - SEC (9/27/2012 Terminated)North Carolina
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Ohio
Registered Investment Advisory firm - SEC (5/10/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (5/14/2012 Terminated)Tennessee
Registered Investment Advisory firm - SEC (5/31/2012 Terminated)Virginia
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
PB
PACKERLAND BROKERAGE SERVICES, INC.
PACKERLAND BROKERAGE SERVICES, INC.
CRD#: 37031 / SEC#: 801-74927, 8-47572
RIA
Registered Investment Advisory firm - SEC (5/1/2012 Approved)Arizona
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Arkansas
Registered Investment Advisory firm - SEC (2/27/2009 Terminated)California
Registered Investment Advisory firm - SEC (5/22/2012 Terminated)Florida
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Illinois
Registered Investment Advisory firm - SEC (5/1/2012 Terminated)Indiana
Registered Investment Advisory firm - SEC (5/14/2012 Terminated)Iowa
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Kansas
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Minnesota
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Missouri
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Montana
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)New Jersey
Registered Investment Advisory firm - SEC (9/27/2012 Terminated)North Carolina
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Ohio
Registered Investment Advisory firm - SEC (5/10/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (5/14/2012 Terminated)Tennessee
Registered Investment Advisory firm - SEC (5/31/2012 Terminated)Virginia
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
432 Security Blvd. Ste. 101, Green Bay, WI 54313-9709
Mailing Address
432 Security Blvd., Green Bay, WI 54313
Phone number
(920) 662-9500
Established
Wisconsin since 07/11/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
286
SEC notice filing (47 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KELLY, ZACHARY P | DIRECTOR, SHAREHOLDER, CEO, BOARD PRESIDENT & SECRETARY | 5263665 |
| VAN ESS, WILLIAM SCOTT | DIRECTOR, SHAREHOLDER, CHAIRMAN OF THE BOARD | 1929840 |
| WESTENBERG, STEVEN G | DIRECTOR, SHAREHOLDER, VICE CHAIRMAN , TREASURER | 2440924 |
| BOSTWICK, KAREN P | SHAREHOLDER | 2643853 |
| DOELGER, AARON ANDREW | SHAREHOLDER, CHIEF COMPLIANCE OFFICER | 4357639 |
Regulatory assets under management
| Total Number of Accounts | 4,245 |
| AUM (Assets Under Management) | $ 909,478,703 |
Disclosures
| Regulatory Event | 2 |
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.
