DB
Daniel J. Buster
VALLEY WEALTH STRATEGIES
NEWPORT BEACH, CA 92663
Some features on this profile are disabled
CRD#: 2966622
DB
Professional summary
Daniel Jason Buster is a registered financial advisor currently at VALLEY WEALTH STRATEGIES, LLC located in Newport Beach, California and LPL FINANCIAL LLC located in Lodi, California.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Daniel has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1. 11/29/2017 - No Business Name - Not Investment Related - Santa Rosa, CA - Real Estate Rental - Landlord - 50/50 with wife Landlord. 2. 11/29/2017 - ZUK FINANCIAL GROUP - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - AGENT - Start Date 09/30/2009 - 25 Hours Per Month - ZUK FINANCIAL GROUP - Life, LTC. 3. 11/29/2017 - CITADEL LAW OFFICES - Not Investment Related - At Reported Business Location(s) - Other - CERTIFIED ESTATE PLANNER - Start Date 1/2010 - 1 Hours Per Month - CITADEL LAW OFFICES - ESTATE PLANNING - CERTIFIED ESTATE PLANNER - - COLLECT PERSONAL & FINANCIAL INFORMATION FROM CLIENTS AS IT PERTAINS TO ESTATE PLANNING. 4. 11/29/2017 - No Business Name - Not Investment Related - San Francisco, CA - Real Estate Rental - Landlord - 1 Hours Per Month - 50/50 with wife Landlord. 5. 11/29/2017 - Buster Imports Inc. - Not Investment Related - 385 S Bonnie Ave Pasadena, CA 911 06-3574 - Other - President - Buster Imports Inc. - 50/50 with wife. President - Wine /spirits import business. Sells wholesale. 6. 01/04/2018 - Valley Wealth Strategies, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date 4/24/2017 - 16 Hours Per Month/16 Hours During Securities Trading - I provide investment advisory services through Valley Wealth Strategies, LLC, an independent investment advisor firm. I started this business activity in 04/2017. I expect to spend approximately 16 hours per month on this activity. Please see the advisory firms 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. 7. 01/08/2018 - Valley Wealth Strategies, LLC - DBA: Zuk Financial Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Start Date 04/2017 - 16 Hours Per Month/16 Hours During Securities Trading. 8. 01/18/2018 - Zuk Financial Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 11/11/2009 - 40 Hours Per Month/40 Hours During Securities Trading. 9. 11/07/2019 - Buster Imports Inc. - Not investment related - 2227 Poplar St Oakland CA 94607 - Reps Business - start date:10/10/2019 - 8 hrs/mo - 0 hrs during trading.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Jason Buster'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: 2901 W Coast Highway #200, Newport Beach, CA 92663RIA
CRD#: 289737
NEWPORT BEACH, CA
Current
November 29, 2017 - Present
LPL FINANCIAL LLC
Office #1: 404 W Pine St Ste 6, Lodi, CA 95240RIA
BD
CRD#: 6413
LODI, CA
Past
November 29, 2017 - April 4, 2018
LPL FINANCIAL LLC
RIA
CRD#: 6413
LAKE FOREST, CA
Past
May 16, 2017 - December 31, 2017
VALLEY WEALTH STRATEGIES
RIA
CRD#: 282275
San Dimas, CA
Past
November 11, 2009 - November 29, 2017
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
LAKE FOREST, CA
Past
October 8, 2009 - November 29, 2017
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
LAKE FOREST, CA
Past
October 17, 2007 - October 15, 2009
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 5496
WELLESLEY HILLS, MA
Past
October 1, 2002 - October 19, 2007
ALLIANZ LIFE FINANCIAL SERVICES, LLC
BD
CRD#: 612
MINNEAPOLIS, MN
Past
February 7, 2001 - October 2, 2002
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
RADNOR, PA
Past
November 16, 1999 - December 5, 2000
MANULIFE WOOD LOGAN, INC.
BD
CRD#: 19177
STAMFORD, CT
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
Florida(4/4/2019)
RR
Idaho(5/29/2018)
RR
Louisiana(1/5/2018)
RR
Nevada(5/29/2025)
RR
Oregon(5/23/2022)
RR
Washington(11/29/2017)
RR
Wyoming(10/8/2020)
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
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.
