OM
Oscar Martinez
VALLEY WEALTH STRATEGIES
LODI, CA 95240
Some features on this profile are disabled
CRD#: 3166236
OM
Professional summary
Oscar Martinez is a registered financial advisor currently at VALLEY WEALTH STRATEGIES, LLC located in Lodi, California and LPL FINANCIAL LLC located in Lodi, California.
Oscar is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Oscar has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 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 - Zuk Financial Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Chief Information Officer - Start Date 8/09 - 160 Hours Per Month. 2. 1/4/2018 - Valley Wealth Strategies, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 1/3/2017 - 80 Hours Per Month/50 Hours During Securities Trading - I provide administrative support to Valley Wealth Strategies, LLC, an independent investment advisor firm. I started this business activity in 01/2017. I expect to spend approximately 80 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 - CCO - Started 01/2017 - 80 Hours Per Month/50 Hours During Securities Trading. 4. 7/20/2020 - Valley Wealth Strategies - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 01/01/2020 - 120 Hours Per Month/60 Hours During Securities Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Oscar Martinez'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
December 20, 2018 - Present
VALLEY WEALTH STRATEGIES, LLC
Office #1: 404 W. Pine Street Suite 6, Lodi, CA 95240RIA
CRD#: 289737
LODI, 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
January 25, 2006 - November 29, 2017
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
LAKE FOREST, CA
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
California(10/22/2018)
IAR
California(12/20/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
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
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.
Company Information
VALLEY WEALTH STRATEGIES, LLC
CRD#: 289737Lodi, CA 95240TRUST BUT VERIFY
Monitor Oscar Martinez
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
