Dave Mappala Valdez
Professional Summary
Dave Mappala Valdez, who also goes by Dave Valdez, Dave M Valdez, is a registered financial advisor currently at ALASKA WEALTH ADVISORS located in Anchorage, Alaska. Dave is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Dave has worked at 8 firms and has passed the Series 66, SIE, Series 31, Series 7, Series 9 and Series 10 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Dave Mappala Valdez, Dave Valdez, Dave M Valdez
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BETTERMENT
OSAIC WEALTH, INC.
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SANCTUARY ADVISORS, LLC
Videos & Posts
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OSAIC WEALTH, INC.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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OSAIC WEALTH, INC.
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Disclosures on record.
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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Years of Experience
21 years registered in the securities industry
Current & Past Employments
Current
Past
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OSAIC WEALTH, INC.
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Current Firm
ALASKA WEALTH ADVISORS | AWMI | APCM WEALTH MANAGEMENT FOR INDIVIDUALS, LLC
Contact Information
Main Address
3800 Centerpoint Drive Suite 910, Anchorage, AK 99503Phone Number
(907) 272-7575# of Employees
23SEC notice filing (14 States and Territories)
Registered to provide investment advisory services in 14 US states and territories.
Regulatory Assets Under Management
Total Number of Accounts
2,274AUM (Assets Under Management)
$1,156,213,886Similar Advisors
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OSAIC WEALTH, INC.
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
ALASKA WEALTH ADVISORS | AWMI | APCM WEALTH MANAGEMENT FOR INDIVIDUALS, LLC
State Registrations and Notice Filings
(1/12/2023)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jul 2013About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Jul 2013About the Series 10 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Dave Mappala Valdez's CRS (Customer Relationship Summary).
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