Joshua C. Schefers

VALLEY WEALTH STRATEGIES

WALNUT CREEK, CA 94596

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CRD#: 5234784

Professional summary

Joshua Christian Schefers, AIF®, CFP®, who also goes by Joshua Schefers, is a registered financial advisor currently at VALLEY WEALTH STRATEGIES, LLC located in Walnut Creek, California and LPL FINANCIAL LLC located in Walnut Creek, California.

Joshua is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Joshua has worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joshua Schefers

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) - DBA for LPL Business (entity for LPL business) - ADIVSOR/FINANCIAL PLANNING/FINANCIAL ADVISOR REPRESENTATIVE - Start Date 10/12/11 - 120 Hours Per Month. 2. 11/29/2017 - FACS FINANCIAL GROUP - Not Investment Related - Home Based - Business Entity For Tax/Investment Purposes Only. 3. 02/21/2018 - Valley Wealth Strategies - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - 80 Hours Per Month - Time Spent 50% - I provide investment advisory services through Valley Wealth Strategies, an independent investment advisor firm. I started this business activity in 11/2017. I expect to spend approximately 80 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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua Christian Schefers'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: 2011

Experience

Current

October 20, 2017 - Present

VALLEY WEALTH STRATEGIES, LLC

Office #1: 101 Ygnacio Valley Rd Suite 211, Walnut Creek, CA 94596

RIA

CRD#: 289737

WALNUT CREEK, CA

Current

November 29, 2017 - Present

LPL FINANCIAL LLC

Office #1: 101 Ygnacio Valley Rd Ste 211, Walnut Creek, CA 94596

RIA

CRD#: 6413

WALNUT CREEK, CA

Past

November 29, 2017 - April 6, 2018

LPL FINANCIAL LLC

RIA

CRD#: 6413

Emeryville, CA

Past

May 16, 2017 - December 31, 2017

VALLEY WEALTH STRATEGIES

RIA

CRD#: 282275

San Ramon, CA

Past

October 18, 2011 - December 6, 2017

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

SAN RAMON, CA

Past

October 18, 2011 - November 29, 2017

NATIONAL PLANNING CORPORATION

CRD#: 29604

SAN RAMON, CA

Past

September 8, 2011 - October 31, 2011

TWD SECURITIES, LLC

CRD#: 143380

PETALUMA, CA

Past

June 23, 2011 - November 4, 2011

LPL FINANCIAL LLC

CRD#: 6413

SAN FRANCISCO, CA

Past

March 23, 2011 - November 4, 2011

LPL FINANCIAL LLC

RIA

CRD#: 6413

SAN FRANCISCO, CA

Past

October 29, 2010 - October 11, 2011

HEFFERNAN INVESTMENT ADVISORS, INC.

RIA

CRD#: 118369

SAN FRANCISCO, CA

Past

September 16, 2008 - January 13, 2010

PARKSIDE ADVISORS LLC

RIA

CRD#: 125553

BERKELEY, CA

Past

November 17, 2006 - July 1, 2008

NATIONAL PLANNING CORPORATION

CRD#: 29604

EMERYVILLE, CA

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

Arizona
(11/29/2017)

IAR

California
(10/20/2017)

California
(11/29/2017)

Colorado
(1/22/2024)

Connecticut
(11/29/2017)

Florida
(1/22/2024)

Hawaii
(5/15/2019)

Idaho
(11/29/2017)

Maine
(6/25/2025)

Nevada
(11/29/2017)

New Jersey
(5/15/2019)

Ohio
(10/27/2022)

Oklahoma
(6/24/2022)

Oregon
(7/24/2018)

Utah
(11/29/2017)

Washington
(11/29/2017)

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

Series 63

Date: 6/29/2011

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 3/22/2008

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/22/2011

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/15/2006

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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Firm Stability Insights

Joshua C. Schefers

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua Christian Schefers's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

VALLEY WEALTH STRATEGIES

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

TWD SECURITIES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

HEFFERNAN INVESTMENT ADVISORS, INC.

PARKSIDE ADVISORS LLC

NATIONAL PLANNING CORPORATION

Primary Firm SEC Registration

VALLEY WEALTH STRATEGIES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/29/2011

Series 65

Date: 3/22/2008

SIE

Date: 10/1/2018

Series 7

Date: 6/22/2011

Series 6

Date: 11/15/2006

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

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