Eric E. Hughes

VALLEY WEALTH STRATEGIES

Sunnyvale, CA

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CRD#: 4471291

Professional summary

Eric Ernst Hughes, who also goes by Eric Hughes, Rick E Hughes, Rick Ernst Hughes, is a registered financial advisor currently at VALLEY WEALTH STRATEGIES, LLC located in Sunnyvale, California and LPL FINANCIAL LLC located in Sunnyvale, California.

Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Eric has worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Eric Hughes | Rick E Hughes | Rick Ernst Hughes

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 - Rick E. Hughes Financial - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date 8/30/2013 - 80 Hours Per Month / 60 Hours During Trading - Rick E. Hughes Financial - Fixed annuities, Life. 2. 11/29/2017 - Rick E. Hughes Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Registered Rep - Start Date 8/30/2013 - 0 Hours Per Month / 0 Hours During Trading. 3. 11/29/2017 - Zuk Financial Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Registered Rep - Start Date 8/30/2013. 4. 01/18/2018 - Valley Wealth Strategies - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date 10/2017 - 16 Hours Per Month/16 Hours During Securities Trading - Time Spent 10% - I provide investment advisory services through Valley Wealth Strategies, an independent investment advisor firm. I started this business activity in 10/2017. I expect to spend approximately 16 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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Ernst Hughes's CRS (Customer Relationship Summary).

LINCOLN INVESTMENT

RIA

CRD#: 519

SUNNYVALE, CA

Past

October 10, 2011 - September 10, 2013

CRD#: 6363

MINNEAPOLIS, MN

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

California
(11/29/2017)

IAR

California
(12/12/2017)

Colorado
(9/4/2020)

Hawaii
(10/24/2025)

Maine
(9/4/2020)

Maryland
(9/4/2020)

Michigan
(11/29/2017)

Minnesota
(9/4/2020)

New York
(7/30/2020)

Oklahoma
(8/11/2020)

Oregon
(9/4/2020)

Washington
(8/13/2018)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/26/2002

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/30/2002

General Securities Representative Examination

SRO Registrations

FINRA

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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Firm Stability Insights

Eric E. Hughes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Ernst Hughes's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

LINCOLN INVESTMENT

LINCOLN INVESTMENT

ALLSTATE FINANCIAL SERVICES, LLC

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

PENSION PLANNERS SECURITIES, INC.

PENSION PLANNERS SECURITIES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

VALLEY WEALTH STRATEGIES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/26/2002

SIE

Date: 10/1/2018

Series 7

Date: 1/30/2002

FINRA

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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