Oscar O. Moraga
Professional summary
Oscar Omar Moraga, who also goes by Oscar O Moraga, is a registered financial advisor currently at VALLEY WEALTH MANAGERS, INC. located in Aventura, Florida and VALLEY FINANCIAL MANAGEMENT, INC. located in Aventura, Florida.
Oscar is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Oscar has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 6, Series 4, Series 10, Series 9, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Oscar Omar Moraga's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 7, 2023 - Present
VALLEY WEALTH MANAGERS, INC.
Office #1: 19495 Biscayne Blvd. Suite 500, Aventura, FL 33180May 5, 2017 - Present
VALLEY FINANCIAL MANAGEMENT, INC.
Office #1: 19495 Biscayne Blvd. Suite 500, Aventura, FL 33180May 5, 2017 - July 26, 2023
VALLEY FINANCIAL MANAGEMENT, INC.
June 10, 2014 - April 24, 2017
MORGAN STANLEY
April 15, 2014 - April 24, 2017
MORGAN STANLEY
September 25, 2012 - March 25, 2014
INSIGNEO SECURITIES, LLC
August 18, 2011 - September 21, 2012
TRADEWIRE SECURITIES LLC
August 31, 2010 - August 5, 2011
EFG CAPITAL INTERNATIONAL
September 17, 2008 - December 31, 2009
PFS INVESTMENTS INC.
Primary Firm SEC Registration
VALLEY WEALTH MANAGERS, INC.
CRD#: 108879 / SEC#: 801-25461
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/5/2017)
(5/8/2017)
(8/7/2023)
(12/14/2021)
(5/12/2017)
Exams
FINRA
Current Firm
VALLEY WEALTH MANAGERS, INC.
CRD#: 108879 / SEC#: 801-25461
Contact information
SEC notice filing (25 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,957 |
| AUM (Assets Under Management) | $ 2,317,257,859 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2024 | ||
| 09/07/2023 | ||
| 10/04/2022 |
Red Flags
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Company Information
VALLEY WEALTH MANAGERS, INC.
CRD#: 108879Aventura, FL 33180TRUST BUT VERIFY
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