VR
Valerie R. Red-horse Mohl
Some features on this profile are disabled
CRD#: 3160944
VR
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.
Valerie Rochelle Little Star Red-horse Mohl, who also goes by Valerie Rochelle Little Star Mohl, Valerie Rochelle Little Star Red-horse, Valerie Red-horse Mohl, Valerie Redding, Valerie Rochelle Little Star Redhorse, was a registered financial professional .
Valerie is a previously registered financial professional and started their career in finance in 1999. Valerie had worked at 13 firms and has passed the Series 65, Series 63, Series 99TO, Series 79TO, Series 52TO, Series 57TO, SIE, Series 55, Series 7, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Valerie Rochelle Little Star Mohl | Valerie Rochelle Little Star Red-Horse | Valerie Red-Horse Mohl | Valerie Redding | Valerie Rochelle Little Star Redhorse
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) The Red-Horse Financial Group, Inc. Not investment-related. Start date: 11/01/2004. Address: 530 Pine Avenue, Sunnyvale CA 94085. Title: CEO and Founder. Duties: All securities related business will be processed through Vanderbilt - this OBA is to disclose non securities consulting work that occurs through Red-Horse Financial Group such as review of operations, financial literacy training, managing RFPs for vendors, etc. Time spent during regular hours: 10%. 2) Red-Horse Native Productions, Inc.; Non Investment-Related. Start date: 11/01/1994. Address: 530 Pine Avenue, Sunnyvale CA 94085. Title: CEO and Founder. Duties: Non-Investment related film production work such as directing, writing and producing. Time spent during regular hours: 5%. 3) Executive Specialties, Inc. Not Investment-Related. Start date: 04/01/1984. Address: 530 Pine Avenue, Sunnyvale CA 94085. Title: Secretary. Duties: I am a director/shareholder (alongside my husband) but I do not actively work in the business. Time spent during regular hours: 0%. 4) Known Holdings, LLC. Not investment related. Start date: 07/31/2024. Address: 530 Pine Avenue, Sunnyvale CA 94085. Title: 4% Unit Holder. Duties: There is no activity nor any duties. I am a passive 4% holder of units in this LLC. Time spent during regular hours: 0%. 5) Boys and Girls Clubs Native Services. Not Investment-Related. Start date: 06/15/2000. Address: 1275 Peachtree Street, Atlanta, GA 30309. Title: Board Chair. Duties: I am a volunteer on this Board of the organization that is dedicated to serving our Native youth. Time spent during regular hours: 0%. 6) New York City Comptroller. Not investment related. Start date: 02/10/2025. Address: 1 Centre Street 8th Floor, New York NY, 10007. Title: DCIO Responsible Investing. Duties: The DCIO??" focused on Responsible Investing, will will lead the Economically Targeted program as well as the Diverse and Emerging Manager program and the broader ESG program, including climate initiatives. This is an administrative position helping to identify managers and opportunities and to make suggestions, but has no trading authority or investment decision making authority as that lies within each of the NYC Pension Funds and their respective Boards of Trustees. Time spent during regular hours: 60%. 7) Christianity Today. Not investment related. Start date: 01/01/2025. Address: P.O. Box 788, Wheaton IL, 60187. Title: Volunteer Board Member for a religious organization Duties: Volunteer Board Member - only 4 meetings per year - in off time hours (weekends). Time spent during regular hours: 0%.
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
October 8, 2024 - November 11, 2025
CONSOLIDATED PORTFOLIO REVIEW CORP
RIA
CRD#: 112694
Sunnyvale, CA
Past
October 8, 2024 - November 11, 2025
VANDERBILT SECURITIES, LLC
BD
CRD#: 5953
Sunnyvale, CA
Past
December 7, 2023 - August 7, 2024
KNOWN GROWTH LLC
BD
CRD#: 322351
Sunnyvale, CA
Past
December 12, 2022 - July 29, 2024
KNOWN WEALTH LLC
RIA
CRD#: 321745
NEW YORK, NY
Past
November 23, 2020 - November 25, 2022
INDEPENDENT INVESTMENT BANKERS, CORP.
RIA
CRD#: 154134
Sunnyvale, CA
Past
November 17, 2020 - December 16, 2022
INDEPENDENT INVESTMENT BANKERS, CORP.
BD
CRD#: 154134
AUSTIN, TX
Past
February 4, 2011 - November 3, 2020
WESTERN INTERNATIONAL SECURITIES, INC.
RIA
CRD#: 39262
Sunnyvale, CA
Past
February 4, 2011 - November 3, 2020
WESTERN INTERNATIONAL SECURITIES, INC.
BD
CRD#: 39262
Sunnyvale, CA
Past
December 10, 2009 - February 7, 2011
COHEN & COMPANY SECURITIES, LLC
BD
CRD#: 149758
LOS ANGELES, CA
Past
July 30, 2007 - December 1, 2009
WESTERN INTERNATIONAL SECURITIES, INC.
RIA
CRD#: 39262
HUNTINGTON BEACH, CA
Past
October 12, 2004 - May 1, 2007
WESTERN INTERNATIONAL SECURITIES, INC.
RIA
CRD#: 39262
HUNTINGTON BEACH, CA
Past
October 11, 2004 - December 1, 2009
WESTERN INTERNATIONAL SECURITIES, INC.
BD
CRD#: 39262
HUNTINGTON BEACH, CA
Past
September 9, 2003 - November 11, 2004
RED-HORSE ASSET MANAGEMENT, LLC
RIA
CRD#: 127610
JERSEY CITY, NJ
Past
September 19, 2002 - November 11, 2004
NATIVE NATIONS ASSET MANAGEMENT
RIA
CRD#: 106808
TARZANA, CA
Past
June 27, 2002 - July 1, 2002
NATIVE NATIONS ASSET MANAGEMENT
RIA
CRD#: 106808
TARZANA, CA
Past
March 19, 2002 - November 11, 2004
RED-HORSE SECURITIES, LLC
BD
CRD#: 104169
BRIDGEWATER, NJ
Past
March 4, 2002 - July 16, 2002
REDWOOD BROKERAGE LLC
BD
CRD#: 39416
NEW YORK, NY
Past
February 13, 2001 - October 25, 2001
NATIVE NATIONS SECURITIES, INC.
BD
CRD#: 334
JERSEY CITY, NJ
Past
January 20, 2000 - March 13, 2001
NATIVE NATIONS SECURITIES, INC.
BD
CRD#: 47478
NEW YORK, NY
Past
May 7, 1999 - March 17, 2000
REDWOOD BROKERAGE LLC
BD
CRD#: 39416
NEW YORK, NY
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".
CP
CONSOLIDATED PORTFOLIO REVIEW CORP
3 DIMENSIONAL WEALTH ADVISORY | ZIRCON FINANCIAL PLANNING, LLC | VISPER WEALTH MANAGEMENT | VIRTUS WEALTH INC | VAUGHT WEALTH MANAGEMENT | SUMMIT ADVISORS NW | STREAMLINE ASSET MANAGEMENT, LLC | STRATEGIC WEALTH ENDEAVOR INC | STONEFIELD WEALTH MANAGEMENT | STOECKLEIN FINANCIAL SERVICES | STARR FINANCIAL SERVICES INC. | SEQUOIA WEALTH & RISK MANAGEMENT | SCOPO CAPITAL PLANNING | RED HORSE FINANCIAL GROUP | RANDALL WEALTH MANAGEMENT | PARAMOUNT FINANCIAL GROUP, LLC. | PACKARD ADVISORY SERVICES | NATIONAL ONE ADVISORS | MARTINSON STOLLER ADVISORS | LEGACY SOLUTIONS WEALTH MANAGEMENT LLC | HEWITT PLANNING SERVICES | HATTIG FINANCIAL COMPANY | GRANITE CANYON WEALTH | GOLDEN ELDRIDGE FINANCIAL LLC | FINANCIAL RESOURCES INC. | DELANCEY WEALTH MANAGEMENT | DALTON WEALTH GROUP | CONSOLIDATED PORTFOLIO REVIEW CORP | CHIAPPETTA FINANCIAL GROUP | CHAMBERLAIN GROUP | AMERICAN CAPITAL ADVISORS, LLC | ABRAMOVITZ WEALTH MANAGEMENT LLC | 3D WEALTH ADVISORY
CRD#: 112694 / SEC#: 801-38795
RIA
Registered Investment Advisory firm - (12/2/1991 Approved)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
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 12/7/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 1/26/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
CP
CONSOLIDATED PORTFOLIO REVIEW CORP
3 DIMENSIONAL WEALTH ADVISORY | ZIRCON FINANCIAL PLANNING, LLC | VISPER WEALTH MANAGEMENT | VIRTUS WEALTH INC | VAUGHT WEALTH MANAGEMENT | SUMMIT ADVISORS NW | STREAMLINE ASSET MANAGEMENT, LLC | STRATEGIC WEALTH ENDEAVOR INC | STONEFIELD WEALTH MANAGEMENT | STOECKLEIN FINANCIAL SERVICES | STARR FINANCIAL SERVICES INC. | SEQUOIA WEALTH & RISK MANAGEMENT | SCOPO CAPITAL PLANNING | RED HORSE FINANCIAL GROUP | RANDALL WEALTH MANAGEMENT | PARAMOUNT FINANCIAL GROUP, LLC. | PACKARD ADVISORY SERVICES | NATIONAL ONE ADVISORS | MARTINSON STOLLER ADVISORS | LEGACY SOLUTIONS WEALTH MANAGEMENT LLC | HEWITT PLANNING SERVICES | HATTIG FINANCIAL COMPANY | GRANITE CANYON WEALTH | GOLDEN ELDRIDGE FINANCIAL LLC | FINANCIAL RESOURCES INC. | DELANCEY WEALTH MANAGEMENT | DALTON WEALTH GROUP | CONSOLIDATED PORTFOLIO REVIEW CORP | CHIAPPETTA FINANCIAL GROUP | CHAMBERLAIN GROUP | AMERICAN CAPITAL ADVISORS, LLC | ABRAMOVITZ WEALTH MANAGEMENT LLC | 3D WEALTH ADVISORY
CRD#: 112694 / SEC#: 801-38795
RIA
Registered Investment Advisory firm - (12/2/1991 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
125 Froehlich Farm Blvd., Woodbury, NY 11797
Mailing Address
Phone number
(631) 845-5100
Established
Firm type
Fiscal year end
# of Employees
44
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,821 |
| AUM (Assets Under Management) | $ 1,294,955,167 |
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.
