Nicole K. Kikugawa

VALLEY WEALTH STRATEGIES

Sonora, CA 95370

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CRD#: 4818744

Professional summary

Nicole Kiomi Kikugawa is a registered financial advisor currently at VALLEY WEALTH STRATEGIES, LLC located in Sonora, California and LPL FINANCIAL LLC located in Sonora, California.

Nicole is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Nicole has worked at 8 firms and has passed the Series 66, 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. 11/29/2017 - No Business Name - Not Investment Related - SONORA, CA - Real Estate Rental - PROPERTY OWNER - Start Date 10/1/07 - 2 Hours Per Month. 2. 1/4/2018 - Valley Wealth Strategies, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 5/1/2017 - 60 Hours Per Month During Securities Trading - I provide investment advisory services through Valley Wealth Strategies, LLC, an independent investment advisor firm. I started this business activity in 05/2017. I expect to spend approximately 60 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. 3. 1/8/2018 - Valley Wealth Strategies, LLC - DBA: (Hybrid) Zuk Financial Group - Investment Related - At Reported Business Location(s) - IAR - Started 01/2017 - 60 Hours Per Month/50 Hours During Securities Trading - Asset management and financial planning. 4. 1/18/2018 - Zuk Financial Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 01/11/2018 - 120 Hours Per Month/80 Hours During Securities Trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicole Kiomi Kikugawa'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

October 20, 2017 - Present

VALLEY WEALTH STRATEGIES, LLC

Office #1: 316 S. Stewart Street Suite #1, Sonora, CA 95370

RIA

CRD#: 289737

Sonora, CA

Current

November 29, 2017 - Present

LPL FINANCIAL LLC

Office #1: 316 S Stewart St Ste 1, Sonora, CA 95370Office #2: 404 W Pine St Ste 6, Lodi, CA 95240

RIA

CRD#: 6413

SONORA, CA

Past

October 29, 2020 - October 28, 2022

LPL FINANCIAL LLC

RIA

CRD#: 6413

LAKE FOREST, CA

Past

November 29, 2017 - April 4, 2018

LPL FINANCIAL LLC

RIA

CRD#: 6413

LAKE FOREST, CA

Past

May 16, 2017 - December 31, 2017

VALLEY WEALTH STRATEGIES

RIA

CRD#: 282275

Sonora, CA

Past

October 6, 2009 - November 29, 2017

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

SONORA, CA

Past

September 24, 2009 - November 29, 2017

NATIONAL PLANNING CORPORATION

CRD#: 29604

SONORA, CA

Past

August 13, 2008 - September 28, 2009

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

SAN JOSE, CA

Past

August 13, 2008 - September 28, 2009

CETERA WEALTH SERVICES, LLC

CRD#: 13572

SAN JOSE, CA

Past

August 7, 2008 - August 13, 2008

PENSION PLANNERS SECURITIES, INC.

RIA

CRD#: 14068

SAN JOSE, CA

Past

March 14, 2006 - August 13, 2008

PENSION PLANNERS SECURITIES, INC.

CRD#: 14068

SAN JOSE, CA

Past

October 31, 2005 - March 3, 2006

OSAIC SERVICES, INC.

CRD#: 133763

SAN DIEGO, CA

Past

July 8, 2004 - October 31, 2005

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

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
(10/31/2024)

IAR

California
(10/20/2017)

California
(11/29/2017)

Colorado
(3/3/2020)

Florida
(12/3/2020)

Idaho
(8/20/2024)

Minnesota
(11/29/2017)

New York
(11/29/2017)

Oregon
(12/4/2020)

Utah
(11/29/2017)

Wisconsin
(8/16/2022)

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: 8/6/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/17/2004

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: 11/22/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/7/2004

Investment Company Products/Variable Contracts 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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Advisor Monitoring

Firm Stability Insights

Nicole K. Kikugawa

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicole Kiomi Kikugawa's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

VALLEY WEALTH STRATEGIES

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

PENSION PLANNERS SECURITIES, INC.

PENSION PLANNERS SECURITIES, INC.

OSAIC SERVICES, INC.

SUNAMERICA SECURITIES, INC.

Primary Firm SEC Registration

VALLEY WEALTH STRATEGIES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/6/2008

Series 63

Date: 8/17/2004

SIE

Date: 10/1/2018

Series 7

Date: 11/22/2005

Series 6

Date: 7/7/2004

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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