Dave M. Valdez

ALASKA WEALTH ADVISORS

Anchorage, AK 99503

Some features on this profile are disabled

CRD#: 4992763

Professional summary

Dave Mappala Valdez, who also goes by Dave Mappala Valdez, 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.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dave Mappala Valdez | Dave Valdez | Dave M Valdez

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.

Name of Outside Business: Rental Properties; Investment Related: No; Address of Outside Business: Anchorage, Alaska; Nature of Outside Business: Rental Property; Position: Owner Landlord; Start Date:12/1/2010; Hours per month: 0-10; Hours per month during securities trading hours: No; Description of Duties: I own rental properties and receive passive income. Name of Outside Business: USAF; Investment Related: No; Address of Outside Business: JBER, Alaska; Nature of Outside Business: Other; Position: Military Officer; Start Date: 9/17/2010; Hours per month: 10-20; Hours per month during securities trading hours: No; Description of Duties: I work in leadership and manpower management. Mr. Valdez is a licensed insurance agent, appointed with various insurance companies. Mr. Valdez has been a licensed insurance agent since 2008. His independent insurance duties require 1 hours a week, 0 of which are during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dave Mappala Valdez'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

January 12, 2023 - Present

ALASKA WEALTH ADVISORS

Office #1: 3800 Centerpoint Drive Suite 910, Anchorage, AK 99503

RIA

CRD#: 172151

Anchorage, AK

Past

December 22, 2021 - February 1, 2023

ARBOR CAPITAL MANAGEMENT INC

RIA

CRD#: 111362

Seattle, WA

Past

July 22, 2021 - December 7, 2021

TD AMERITRADE, INC.

RIA

CRD#: 7870

Bellevue, WA

Past

July 22, 2021 - December 7, 2021

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

May 19, 2020 - December 7, 2021

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Bellevue, WA

Past

May 15, 2020 - December 7, 2021

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Bellevue, WA

Past

August 8, 2018 - May 5, 2020

TD AMERITRADE, INC.

RIA

CRD#: 7870

Bellevue, WA

Past

August 8, 2018 - May 5, 2020

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

BELLEVUE, WA

Past

August 8, 2018 - May 5, 2020

TD AMERITRADE, INC.

CRD#: 7870

BELLEVUE, WA

Past

January 3, 2017 - August 7, 2018

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

SEATTLE, WA

Past

July 5, 2011 - December 31, 2016

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

SEATTLE, WA

Past

July 5, 2011 - August 7, 2018

CHARLES SCHWAB & CO., INC.

CRD#: 5393

SEATTLE, WA

Past

January 3, 2011 - June 13, 2011

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

ANCHORAGE, AK

Past

January 3, 2011 - June 13, 2011

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ANCHORAGE, AK

Past

April 28, 2008 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

ANCHORAGE, AK

Past

April 24, 2008 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

ANCHORAGE, AK

Past

September 27, 2005 - June 5, 2006

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

SEATTLE, WA

Past

September 5, 2005 - June 5, 2006

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, 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".

ALASKA WEALTH ADVISORS

ALASKA WEALTH ADVISORS | AWMI | APCM WEALTH MANAGEMENT FOR INDIVIDUALS, LLC

CRD#: 172151 / SEC#: 801-80133

RIA

Registered Investment Advisory firm - (8/25/2014 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

Alaska
(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

State Security Law Exam

IAR

Series 66

Date: 9/23/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 10/10/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 9/2/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 7/31/2013

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 7/5/2013

General Securities Sales Supervisor - General Module Examination

Current Firm

ALASKA WEALTH ADVISORS

ALASKA WEALTH ADVISORS | AWMI | APCM WEALTH MANAGEMENT FOR INDIVIDUALS, LLC

CRD#: 172151 / SEC#: 801-80133

RIA

Registered Investment Advisory firm - (8/25/2014 Approved)

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Contact information

Main Address

3800 Centerpoint Drive Suite 910, Anchorage, AK 99503

Mailing Address

Phone number

(907) 272-7575

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AWA 2A (11/5/2025)

Regulatory assets under management

Total Number of Accounts	2,008
AUM (Assets Under Management)	$ 925,384,680

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

Dave M. Valdez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dave Mappala Valdez's CRS (Customer Relationship Summary).

Certified licenses

Experience

ARBOR CAPITAL MANAGEMENT INC

TD AMERITRADE, INC.

TD AMERITRADE, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

ALASKA WEALTH ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 9/23/2005

SIE

Date: 10/1/2018

Series 31

Date: 10/10/2005

Series 7

Date: 9/2/2005

Series 9

Date: 7/31/2013

Series 10

Date: 7/5/2013

Current Firm

ALASKA WEALTH ADVISORS

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALASKA WEALTH ADVISORS

TRUST BUT VERIFY

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