David A. Sasson

VALLEY WEALTH STRATEGIES

Menlo Park, CA 94025

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CRD#: 5174153

Professional summary

David Adam Sasson MR., AIF®, CFP® is a registered financial advisor currently at VALLEY WEALTH STRATEGIES, LLC located in Menlo Park, California and LPL FINANCIAL LLC located in Menlo Park, California.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. David has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 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 - Zuk Financial Group - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date 9/1/09 - 2 Hours Per Month / 2 Hours During Trading - Zuk Financial Group - Life, Fixed Annuities. 2. 11/29/2017 - Zuk Financial Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Advisor - Start Date 7/15/2008. 3. 11/29/2017 - Valley Wealth Strategies - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Advisor - Start Date 8/3/2017.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Adam Sasson MR.'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: 2021

Experience

Current

October 20, 2017 - Present

VALLEY WEALTH STRATEGIES, LLC

Office #1: 535 Middlefield Road, Suite 140, Menlo Park, CA 94025

RIA

CRD#: 289737

Menlo Park, CA

Current

November 29, 2017 - Present

LPL FINANCIAL LLC

Office #1: 535 Middlefield Rd Ste 140, Menlo Park, CA 94025

RIA

CRD#: 6413

MENLO PARK, CA

Past

November 29, 2017 - April 4, 2018

LPL FINANCIAL LLC

RIA

CRD#: 6413

FORT MILL, SC

Past

September 11, 2017 - December 31, 2017

VALLEY WEALTH STRATEGIES

RIA

CRD#: 282275

Menlo Park, CA

Past

February 4, 2010 - November 29, 2017

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

MENLO PARK, CA

Past

July 15, 2008 - November 29, 2017

NATIONAL PLANNING CORPORATION

CRD#: 29604

MENLO PARK, CA

Past

August 2, 2006 - March 17, 2008

TERWIN CAPITAL, LLC

CRD#: 122463

NEW YORK, 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".

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

IAR

California
(10/20/2017)

California
(11/29/2017)

Colorado
(11/29/2017)

Connecticut
(11/29/2017)

Florida
(11/29/2017)

Hawaii
(8/24/2021)

Idaho
(11/4/2025)

Nevada
(11/29/2017)

New Mexico
(11/29/2017)

North Carolina
(6/13/2018)

South Carolina
(5/21/2025)

Tennessee
(1/10/2024)

Texas
(6/18/2020)

IAR

Texas
(6/22/2020)

Washington
(3/25/2019)

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: 6/10/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/26/2007

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: 8/1/2006

General Securities 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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Firm Stability Insights

David A. Sasson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Adam Sasson MR.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

VALLEY WEALTH STRATEGIES

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

TERWIN CAPITAL, LLC

Primary Firm SEC Registration

VALLEY WEALTH STRATEGIES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/10/2009

Series 63

Date: 1/26/2007

SIE

Date: 10/1/2018

Series 7

Date: 8/1/2006

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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