Timothy J. Williams

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CRD#: 4091886

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.

Timothy James Williams was a registered financial professional .

Timothy is a previously registered financial professional and started their career in finance in 2000. Timothy had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 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

March 30, 2018 - June 18, 2018

VALLEY WEALTH STRATEGIES, LLC

RIA

CRD#: 289737

NAPA, CA

Past

January 7, 2011 - March 31, 2016

DAVINCI CAPITAL MANAGEMENT, INC.

RIA

CRD#: 46897

CAMBRIDGE, MA

Past

April 23, 2010 - March 31, 2016

DAVINCI CAPITAL MANAGEMENT, INC.

CRD#: 46897

CAMBRIDGE, MA

Past

January 8, 2009 - December 31, 2009

FIRST ALLIED SECURITIES, INC.

RIA

CRD#: 32444

QUINCY, MA

Past

February 8, 2008 - December 31, 2009

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

QUINCY, MA

Past

January 6, 2000 - February 15, 2008

MML INVESTORS SERVICES, LLC

CRD#: 10409

QUINCY, MA

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: 11/18/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/5/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/31/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/8/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/5/2000

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.

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Advisor Monitoring

Firm Stability Insights

Timothy J. Williams

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

DAVINCI CAPITAL MANAGEMENT, INC.

DAVINCI CAPITAL MANAGEMENT, INC.

FIRST ALLIED SECURITIES, INC.

FIRST ALLIED SECURITIES, INC.

MML INVESTORS SERVICES, LLC

Primary Firm SEC Registration

VALLEY WEALTH STRATEGIES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/18/2008

Series 63

Date: 1/5/2000

SIE

Date: 3/31/2016

Series 7

Date: 11/8/2001

Series 6

Date: 1/5/2000

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

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