Daniel A. Raymond

VALLEY WEALTH STRATEGIES

Lodi, CA 95240

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CRD#: 4618228

Professional summary

Daniel Alan Raymond, AIF®, CFP® is a registered financial advisor currently at VALLEY WEALTH STRATEGIES, LLC located in Lodi, California and LPL FINANCIAL LLC located in Lodi, California.

Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Daniel has worked at 7 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 53 and Series 24 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Alan Raymond'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®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

Start date: 2008

Experience

Current

October 20, 2017 - Present

VALLEY WEALTH STRATEGIES, LLC

Office #1: 404 W. Pine Street #6, Lodi, CA 95240

RIA

CRD#: 289737

Lodi, CA

Current

November 29, 2017 - Present

LPL FINANCIAL LLC

Office #1: 404 W Pine St Ste 6, Lodi, CA 95240-2048Office #3: 404 W Pine St Ste 6, Lodi, CA 95240Office #4: 5301 Office Park Dr Ste 125, Bakersfield, CA 93309

RIA

CRD#: 6413

Lodi, CA

Past

November 29, 2017 - April 4, 2018

LPL FINANCIAL LLC

RIA

CRD#: 6413

STOCKTON, CA

Past

January 4, 2017 - December 31, 2017

VALLEY WEALTH STRATEGIES

RIA

CRD#: 282275

NAPA, CA

Past

April 9, 2009 - November 29, 2017

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

LODI, CA

Past

March 31, 2009 - November 29, 2017

NATIONAL PLANNING CORPORATION

CRD#: 29604

LODI, CA

Past

April 3, 2007 - April 3, 2009

VOYA FINANCIAL PARTNERS, LLC

RIA

CRD#: 34815

SPRINGFIELD, MA

Past

April 3, 2007 - April 3, 2009

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

SPRINGFIELD, MA

Past

May 14, 2003 - May 5, 2004

MML DISTRIBUTORS, LLC

CRD#: 38030

SPRINGFIELD, MA

Past

January 24, 2003 - March 20, 2007

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, 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.

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

Alabama
(9/21/2023)

Arizona
(11/29/2017)

Arkansas
(11/29/2017)

IAR

California
(10/20/2017)

California
(11/29/2017)

Colorado
(11/29/2017)

Connecticut
(11/29/2017)

District of Columbia
(11/29/2017)

Florida
(5/8/2018)

Georgia
(11/29/2017)

Hawaii
(7/30/2019)

Idaho
(11/29/2017)

Illinois
(10/26/2022)

Indiana
(11/29/2017)

Kansas
(10/25/2022)

Maryland
(6/11/2020)

Massachusetts
(11/29/2017)

IAR

Massachusetts
(5/7/2018)

Michigan
(11/29/2017)

Minnesota
(11/29/2017)

Missouri
(9/15/2020)

Montana
(3/13/2020)

Nevada
(11/29/2017)

New Jersey
(11/29/2017)

New Mexico
(11/29/2017)

New York
(11/29/2017)

North Carolina
(11/29/2017)

Oklahoma
(11/29/2017)

Oregon
(11/29/2017)

Pennsylvania
(11/29/2017)

South Carolina
(11/29/2017)

South Dakota
(1/9/2025)

Tennessee
(10/29/2021)

Texas
(11/29/2017)

Utah
(1/2/2025)

Virginia
(11/29/2017)

Washington
(11/29/2017)

Wisconsin
(11/29/2017)

Wyoming
(1/16/2019)

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: 10/9/2003

Uniform Combined State Law Examination

General Industry/Product Exam

Series 52TO

Date: 9/25/2025

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/23/2003

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 1/20/2004

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 2/3/2003

General Securities Principal 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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Advisor Monitoring

Firm Stability Insights

Daniel A. Raymond

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Alan Raymond's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

VALLEY WEALTH STRATEGIES

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

VOYA FINANCIAL PARTNERS, LLC

VOYA FINANCIAL PARTNERS, LLC

MML DISTRIBUTORS, LLC

MML INVESTORS SERVICES, LLC

Primary Firm SEC Registration

VALLEY WEALTH STRATEGIES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/9/2003

Series 52TO

Date: 9/25/2025

SIE

Date: 10/1/2018

Series 7

Date: 1/23/2003

Series 53

Date: 1/20/2004

Series 24

Date: 2/3/2003

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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