George A. Tarwater

CRD#: 2894234

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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.

George Allen Tarwater was a registered financial professional .

George is a previously registered financial professional and started their career in finance in 1997. George had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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)

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®

None

Experience

Past

December 12, 2017 - April 3, 2025

VALLEY WEALTH STRATEGIES, LLC

RIA

CRD#: 289737

Yuba City, CA

Past

November 29, 2017 - April 6, 2018

LPL FINANCIAL LLC

RIA

CRD#: 6413

YUBA CITY, CA

Past

November 29, 2017 - April 10, 2025

LPL FINANCIAL LLC

CRD#: 6413

YUBA CITY, CA

Past

January 6, 2010 - November 29, 2017

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

YUBA CITY, CA

Past

July 31, 2009 - November 29, 2017

NATIONAL PLANNING CORPORATION

CRD#: 29604

YUBA CITY, CA

Past

August 25, 2006 - August 11, 2009

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

SAN DIEGO, CA

Past

July 14, 2005 - August 15, 2006

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

YUBA CITY, CA

Past

November 10, 1998 - July 5, 2005

AMERICAN FIDELITY SECURITIES, INC.

CRD#: 11852

OKLAHOMA CITY, OK

Past

August 25, 1997 - November 2, 1998

HORACE MANN INVESTORS, INC.

CRD#: 11643

SPRINGFIELD, IL

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".

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)

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/14/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/4/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 8/22/1997

Investment Company Products/Variable Contracts Representative Examination

Current Firm

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)

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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

SEC notice filing (20 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

VWS FORM ADV 2A FIRM BROCHURE (2/20/2025)

Regulatory assets under management

Total Number of Accounts	8,131
AUM (Assets Under Management)	$ 1,205,186,000

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

George A. Tarwater

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

INDEPENDENT FINANCIAL GROUP, LLC

ALLSTATE FINANCIAL SERVICES, LLC

AMERICAN FIDELITY SECURITIES, INC.

HORACE MANN INVESTORS, INC.

Primary Firm SEC Registration

VALLEY WEALTH STRATEGIES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/14/2009

Series 63

Date: 1/4/1999

SIE

Date: 10/1/2018

Series 6

Date: 8/22/1997

Current Firm

VALLEY WEALTH STRATEGIES, LLC

Contact information

SEC notice filing (20 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VALLEY WEALTH STRATEGIES, LLC

TRUST BUT VERIFY

Contact information

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