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OF

Oscar D. Flores De Valgaz

LEGADO WEALTH MANAGEMENT
NEW YORK, NY 10174
Some features on this profile are disabled
CRD#: 4598645
OF

Professional summary

Oscar David Flores De Valgaz, who also goes by Oscar Flores De Valgaz, Oscar Flores De Valgaz, Oscar Flores De Valgaz, is a registered financial advisor currently at LEGADO WEALTH MANAGEMENT LLC located in New York, New York.

Oscar is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Oscar has worked at 10 firms and has passed the Series 66, Series 7TO, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Oscar Flores De Valgaz | Oscar Flores De Valgaz | Oscar Flores De Valgaz

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) - RIA

Click below to view Oscar David Flores De Valgaz's CRS (Customer Relationship Summary).
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®
None

Experience

Current

May 7, 2021 - Present

LEGADO WEALTH MANAGEMENT LLC

Office #1: 405 Lexington Avenue 9th Floor, New York, NY, 10174
RIA
CRD#: 305263
NEW YORK, NY
Past

October 3, 2018 - August 12, 2021

UCAP AMERICAS

RIA
CRD#: 170846
Holliswood, NY
Past

June 19, 2017 - August 12, 2021

UCAP AMERICAS

BD
CRD#: 173643
MIAMI, FL
Past

July 26, 2016 - June 2, 2017

INSIGHT SECURITIES, INC.

RIA
CRD#: 5611
New York, NY
Past

July 25, 2016 - December 5, 2016

INSIGHT SECURITIES, INC.

BD
CRD#: 5611
New York, NY
Past

May 26, 2015 - July 18, 2016

LEBENTHAL & CO., LLC

BD
CRD#: 145750
NEW YORK, NY
Past

May 15, 2012 - June 3, 2015

FOREFRONT CAPITAL MARKETS LLC

BD
CRD#: 151812
NEW YORK, NY
Past

October 29, 2010 - May 10, 2012

MAXIM GROUP LLC

BD
CRD#: 120708
NEW YORK, NY
Past

June 1, 2009 - July 12, 2010

MORGAN STANLEY

BD
CRD#: 149777
NEW YORK, NY
Past

January 10, 2006 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

June 20, 2005 - January 9, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
NEW YORK, NY
Past

January 6, 2003 - January 9, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

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".
LW
LEGADO WEALTH MANAGEMENT LLC
LEGADO WEALTH MANAGEMENT LLC

CRD#: 305263 / SEC#: 801-122329

RIA
Registered Investment Advisory firm - (1/26/2022 Approved)
New York
Registered Investment Advisory firm - (8/27/2019 Approved)
North Carolina
Registered Investment Advisory firm - (8/24/2021 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.

Highlighted states indicate IAR registrations

IAR
New York
(5/7/2021)
IAR
North Carolina
(8/25/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/19/2005
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/21/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 1/24/2007
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 1/3/2003
General Securities Representative Examination

Current Firm

LW
LEGADO WEALTH MANAGEMENT LLC
LEGADO WEALTH MANAGEMENT LLC

CRD#: 305263 / SEC#: 801-122329

RIA
Registered Investment Advisory firm - (1/26/2022 Approved)
New York
Registered Investment Advisory firm - (8/27/2019 Approved)
North Carolina
Registered Investment Advisory firm - (8/24/2021 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
405 Lexington Avenue 9th Floor, New York, NY, 10174
Mailing Address
Phone number
(212) 697-3420
Established
Firm type
Fiscal year end
# of Employees
1

SEC notice filing (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2A & B 2025 (2/17/2026)

Regulatory assets under management

Total Number of Accounts149
AUM (Assets Under Management)$ 51,030,108

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

LEGADO WEALTH MANAGEMENT LLC

CRD#: 305263New York, NY 10174

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