Nicolas Bogdanowicz

VALLEY FINANCIAL MANAGEMENT

Aventura, FL 33180

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CRD#: 4663699

Professional summary

Nicolas Bogdanowicz is a registered financial professional currently at VALLEY FINANCIAL MANAGEMENT, INC. located in Aventura, Florida.

Nicolas is registered as a RR (Registered Representative) and started their career in finance in 2003. Nicolas has worked at 1 firm and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view Nicolas Bogdanowicz'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

June 5, 2003 - Present

VALLEY FINANCIAL MANAGEMENT, INC.

Office #1: 19495 Biscayne Blvd. Suite 500, Aventura, FL 33180

RIA

CRD#: 105387

Aventura, FL

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 FINANCIAL MANAGEMENT, INC.

CRD#: 105387 / SEC#: 801-113685, 8-52993

RIA

Registered Investment Advisory firm - SEC (7/27/2018 Approved)

California

Registered Investment Advisory firm - SEC (9/1/2018 Terminated)

Florida

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Illinois

Registered Investment Advisory firm - SEC (7/27/2018 Terminated)

Louisiana

Registered Investment Advisory firm - SEC (8/3/2018 Terminated)

Maryland

Registered Investment Advisory firm - SEC (8/10/2018 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (10/2/2018 Terminated)

New York

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Ohio

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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.

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
(1/14/2009)

Connecticut
(8/17/2016)

Delaware
(4/20/2023)

District of Columbia
(10/9/2018)

Florida
(3/5/2007)

Georgia
(10/4/2012)

Illinois
(11/24/2008)

Maryland
(1/14/2009)

Massachusetts
(5/19/2021)

Michigan
(8/17/2016)

Minnesota
(1/18/2013)

Missouri
(7/6/2018)

New Jersey
(7/28/2009)

New York
(6/11/2003)

North Carolina
(10/1/2018)

Ohio
(12/1/2021)

Pennsylvania
(3/22/2011)

Texas
(1/6/2017)

Virginia
(9/15/2011)

Wyoming
(1/3/2020)

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.

Exams

State Security Law Exam

Series 63

Date: 6/9/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/3/2003

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

VALLEY FINANCIAL MANAGEMENT, INC.

CRD#: 105387 / SEC#: 801-113685, 8-52993

RIA

Registered Investment Advisory firm - SEC (7/27/2018 Approved)

California

Registered Investment Advisory firm - SEC (9/1/2018 Terminated)

Florida

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Illinois

Registered Investment Advisory firm - SEC (7/27/2018 Terminated)

Louisiana

Registered Investment Advisory firm - SEC (8/3/2018 Terminated)

Maryland

Registered Investment Advisory firm - SEC (8/10/2018 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (10/2/2018 Terminated)

New York

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Ohio

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

350 Madison Ave. 4th Floor, Compliance Department, New York, NY 10017

Mailing Address

350 Madison Ave. 4th Floor, Compliance Department, New York, NY 10017

Phone number

(212) 407-4362

Established

New York since 08/08/2000

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

102

SEC notice filing (13 States and Territories)

FINRA licenses (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FORM ADV, PART 2A (WRAP BROCHURE - 2025) (2/7/2025)

VFM ADV PART 2A (2/7/2025)

Direct owners and executive officers

Name	Position	CRD#
VALLEY NATIONAL BANK	DIRECT PARENT OF APPLICANT
CHITTENDEN, KEVIN L.	DIRECTOR	8047906
COLLERAN, JOSEPH ARTHUR III	PRESIDENT / CEO	1010582
GAWLEY, CHRISTOPHER JON	GENERAL COUNSEL	4997190
LAN, TRAVIS	DIRECTOR	5190958
MAYO, JAMIE	CHIEF FINANCIAL OFFICER	3113603
SCHULTZ, MELISSA JOSEPH	CHAIRPERSON	1155034
WILSON, CHRISTOPHER MICHAEL	CHIEF COMPLIANCE OFFICER	5163915

Regulatory assets under management

Total Number of Accounts	60
AUM (Assets Under Management)	$ 55,000

Disclosures

Regulatory Event

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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Nicolas Bogdanowicz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Nicolas Bogdanowicz's CRS (Customer Relationship Summary).

Certified licenses

Experience

Primary Firm SEC Registration

VALLEY FINANCIAL MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/9/2003

SIE

Date: 10/1/2018

Series 7

Date: 6/3/2003

FINRA

Current Firm

VALLEY FINANCIAL MANAGEMENT, INC.

Contact information

SEC notice filing (13 States and Territories)

FINRA licenses (49 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

VALLEY FINANCIAL MANAGEMENT, INC.

TRUST BUT VERIFY

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