Vayle Floria
NWF ADVISORY SERVICES | Financial Advisor
Orange, CA 92866
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CRD#: 4405176
Professional summary
Vayle Floria is a registered financial advisor currently at NWF ADVISORY SERVICES INC located in Orange, California and OSAIC WEALTH, INC. located in Orange, California.
Vayle is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Vayle has 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"?
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) VAYLE FLORIA POSITION: SOLE PROPRIETOR; NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 2 START DATE: 01/07/2011 ADDRESS: 1420 E CHAPMAN AVE ORANGE CA 92866 DESCRIPTION: FIXED INSURANCE. 2) PO5, LLC POSITION: SHAREHOLDER/MANAGER; NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 08/14/2014 ADDRESS: 1420 E CHAPMAN AVE. ORANGE CA 92665 DESCRIPTION: REAL ESTATE INVESTMENT. 3) NWF ADVISORY SERVICES POSITION: Financial Planner NATURE: Providing advisory services business (fee based). INVESTMENT RELATED: Yes NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 8 START DATE: 11/01/2017 ADDRESS: 11835 W. Olympic Blvd, #1155 East, Los Angeles CA 90064, United States DESCRIPTION: Provide long term financial planning and management of clients accounts. 4) VAYLE FLORIA POSITION: Owner NATURE: Sales of fixed/term insurance as a sole proprietor INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 08/01/2011 ADDRESS: 1420 E. Chapman Ave, Orange CA 92866, United States DESCRIPTION: Sell fixed annuities and term insurance. 5) PO5 LLC POSITION: President NATURE: It is an LLC formed to purchase the building where I conduct my business. The LLC also collects rents from all the partners to pay expenses (Mortgage, Utilities, Taxes, Maintenance, etc...). INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 08/01/2014 ADDRESS: 1420 E. Chapman Ave, Orange CA 92866, United States DESCRIPTION: Every once in a while I pay a bill (Licensing, Taxes, etc...). We also have a meeting with the partners usually once or twice a year where we discuss any issues with the building.
CRS (Client Relationship Summary) - RIA
Click below to view Vayle Floria'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
March 22, 2018 - Present
NWF ADVISORY SERVICES INC
Office #1: 1420 E. Chapman Ave., Orange, CA 92866RIA
CRD#: 110410
Orange, CA
Current
October 27, 2017 - Present
OSAIC WEALTH, INC.
Office #1: 1420 E. Chapman Avenue, Orange, CA 92866RIA
BD
CRD#: 23131
Orange, CA
Past
August 19, 2010 - August 22, 2011
THE ELITE FINANCIAL NETWORK, INC.
RIA
CRD#: 130312
ORANGE, CA
Past
May 1, 2009 - November 2, 2017
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
ORANGE, CA
Past
April 30, 2009 - November 2, 2017
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
ORANGE, CA
Past
July 31, 2008 - December 31, 2009
THE ELITE FINANCIAL NETWORK, INC.
RIA
CRD#: 130312
ORANGE, CA
Past
March 22, 2007 - May 4, 2009
OSAIC WEALTH, INC.
RIA
CRD#: 23131
ORANGE, CA
Past
June 5, 2001 - May 4, 2009
OSAIC WEALTH, INC.
BD
CRD#: 23131
ORANGE, 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".
NA
NWF ADVISORY SERVICES INC
AFP ADVISORY SERVICES INC | NWF ADVISORY SERVICES INC
CRD#: 110410 / SEC#: 801-55681
RIA
Registered Investment Advisory firm - (6/30/1998 Approved)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(6/7/2018)
RR
California(10/27/2017)
IAR
California(3/22/2018)
RR
Florida(2/15/2023)
RR
Georgia(2/5/2020)
RR
Idaho(6/20/2019)
RR
Louisiana(3/20/2018)
RR
Nevada(10/27/2017)
RR
Texas(10/27/2017)
RR
Washington(5/8/2021)
RR
West Virginia(3/16/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
NA
NWF ADVISORY SERVICES INC
AFP ADVISORY SERVICES INC | NWF ADVISORY SERVICES INC
CRD#: 110410 / SEC#: 801-55681
RIA
Registered Investment Advisory firm - (6/30/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
11835 W Olympic Blvd Ste 1155 E., Los Angeles, CA 90064
Mailing Address
Phone number
(310) 475-5854
Established
Firm type
Fiscal year end
# of Employees
71
SEC notice filing (24 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,979 |
| AUM (Assets Under Management) | $ 3,824,876,751 |
Red Flags
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Company Information
NWF ADVISORY SERVICES INC
Financial AdvisorCRD#: 110410Orange, CA 92866TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
