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Donald G. Mullin

Some features on this profile are disabled
CRD#: 3133548
DM

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.

Donald Gordon Mullin, who also goes by Donald G Mullin, was a registered financial professional .

Donald is a previously registered financial professional and started their career in finance in 2001. Donald had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Donald G Mullin

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 - Zuk Financial Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 2009. 2. 1/3/2018 - VALLEY WEALTH STRATEGIES - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 12/21/2017 - 20 Hours Per Month During Securities Trading - I provide investment advisory services through Valley Wealth Strategies, an independent investment advisor firm. I started this business activity in 12/2017. I expect to spend approximately 20 hours per month on this activity. Please see the advisory firm�s 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. 3. 1/8/2018 - Valley Wealth Strategies, LLC - DBA: (Hybrid) Zuk Financial Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Started 10/2017 - 20 Hours Per Month During Securities Trading. 4. 02/22/2018 - No Business Name- Investment Related - Non-Variable Insurance - Start Date 01/31/2018 - 5 Hours Per Month/5 During Securities Trading.

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 22, 2017 - December 31, 2017

VALLEY WEALTH STRATEGIES

RIA
CRD#: 282275
San Luis Obispo, CA
Past

December 22, 2017 - November 5, 2025

VALLEY WEALTH STRATEGIES, LLC

RIA
CRD#: 289737
San Luis Obispo, CA
Past

November 29, 2017 - April 4, 2018

LPL FINANCIAL LLC

RIA
CRD#: 6413
LAKE FOREST, CA
Past

November 29, 2017 - July 6, 2021

LPL FINANCIAL LLC

BD
CRD#: 6413
LAKE FOREST, CA
Past

November 27, 2009 - November 29, 2017

NATIONAL PLANNING CORPORATION

RIA
CRD#: 29604
SAN LUIS OBISPO, CA
Past

November 27, 2009 - November 29, 2017

NATIONAL PLANNING CORPORATION

BD
CRD#: 29604
SAN LUIS OBISPO, CA
Past

August 13, 2008 - November 20, 2009

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
SAN LUIS OBISPO, CA
Past

August 13, 2008 - November 20, 2009

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, CA
Past

December 6, 2005 - August 13, 2008

PENSION PLANNERS SECURITIES, INC.

RIA
CRD#: 14068
SAN LUIS OBISPO, CA
Past

December 6, 2005 - August 13, 2008

PENSION PLANNERS SECURITIES, INC.

BD
CRD#: 14068
SACRAMENTO, CA
Past

August 30, 2004 - December 20, 2005

VALIC FINANCIAL ADVISORS, INC.

RIA
CRD#: 42803
GLENDALE, CA
Past

August 30, 2004 - December 20, 2005

VALIC FINANCIAL ADVISORS, INC.

BD
CRD#: 42803
HOUSTON, TX
Past

November 21, 2002 - September 30, 2004

ASSOCIATED PLANNERS INVESTMENT ADVISORY INC

RIA
CRD#: 104790
SAN LUIS OBISPO, CA
Past

September 13, 2002 - September 30, 2004

ASSOCIATED SECURITIES CORP.

BD
CRD#: 12969
BOSTON, MA
Past

November 7, 2001 - December 31, 2001

THE VARIABLE ANNUITY MARKETING COMPANY

BD
CRD#: 5081
HOUSTON, TX
Past

November 7, 2001 - September 18, 2002

VALIC FINANCIAL ADVISORS, INC.

BD
CRD#: 42803
HOUSTON, TX

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
RR
IAR
Series 66
Date: 10/24/2002
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/29/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/4/2002
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/22/2001
Investment Company Products/Variable Contracts Representative Examination

Current Firm

VW
VALLEY WEALTH STRATEGIES
DRUMMOND, DARREL JOHN | VALLEY WEALTH STRATEGIES, LLC | VALLEY WEALTH STRATEGIES

CRD#: 282275 / SEC#:

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Contact information

Main Address
1342 Fourth Street, Napa, CA 94559
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

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.

Company Information

VALLEY WEALTH STRATEGIES

CRD#: 282275

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