EM
Estevan R. Munoz
VALLEY WEALTH STRATEGIES
Santa Ana, CA 92701
Some features on this profile are disabled
CRD#: 4243853
EM
Professional summary
Estevan Ruiz Munoz, who also goes by Steve Ruiz Munoz, is a registered financial advisor currently at VALLEY WEALTH STRATEGIES, LLC located in Santa Ana, California and LPL FINANCIAL LLC located in Santa Ana, California.
Estevan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Estevan has worked at 3 firms and has passed the Series 65, Series 66, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steve Ruiz Munoz
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) - Started 01/2003.
2. 1/25/2018 - Valley Wealth Strategies, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 11/16/2017 - 12 Hours Per Month During Securities Trading - I provide investment advisory services through Valley Wealth Strategies, LLC, an independent investment advisor firm. I started this business activity in 11/2017. I expect to spend approximately 12 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. 1/25/2018 - Valley Wealth Strategies, LLC - DBA: (Hybrid) Zuk Financial Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - 12 Hours Per Month/8 Hours During Securities Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Estevan Ruiz Munoz'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
January 18, 2018 - Present
VALLEY WEALTH STRATEGIES, LLC
Office #1: 1633 E 4th Street Suite 212, Santa Ana, CA 92701RIA
CRD#: 289737
Santa Ana, CA
Current
November 29, 2017 - Present
LPL FINANCIAL LLC
Office #1: 1633 E 4th St Suite 212, Santa Ana, CA 92701Office #2: 5301 Office Park Dr Ste 125, Bakersfield, CA 93309RIA
BD
CRD#: 6413
Santa Ana, CA
Past
December 5, 2017 - April 4, 2018
LPL FINANCIAL LLC
RIA
CRD#: 6413
SAN DIMAS, CA
Past
January 19, 2001 - November 29, 2017
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
SAN DIMAS, 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
Arizona(1/2/2018)
RR
Arkansas(10/26/2020)
RR
California(11/29/2017)
IAR
California(1/18/2018)
RR
Colorado(3/25/2019)
RR
Hawaii(1/22/2019)
RR
Idaho(7/5/2018)
RR
Massachusetts(11/2/2021)
RR
Montana(1/22/2019)
RR
Nevada(1/24/2019)
RR
Ohio(7/6/2023)
RR
Oregon(11/29/2017)
RR
South Carolina(11/29/2017)
RR
Texas(1/22/2019)
RR
Utah(1/22/2019)
RR
Vermont(7/14/2022)
RR
Virginia(6/11/2018)
RR
Washington(3/13/2018)
Exams
State Security Law Exam
State Security Law Exam
State Security Law 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
