Leticia E. Cruz
Professional summary
Leticia Edith Cruz, who also goes by Leticia Edith Cruz-khan, is a registered financial advisor currently at VALLEY WEALTH MANAGERS, INC. located in New York, New York and VALLEY FINANCIAL MANAGEMENT, INC. located in New York, New York.
Leticia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Leticia has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Leticia Edith Cruz's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 10, 2025 - Present
VALLEY WEALTH MANAGERS, INC.
Office #1: 350 Madison 4th Floor, New York, NY 10017September 20, 2018 - Present
VALLEY FINANCIAL MANAGEMENT, INC.
Office #1: 350 Madison Avenue, New York, NY 10017Primary 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
(6/19/2019)
(6/19/2019)
(9/21/2018)
(6/19/2019)
(7/26/2021)
(6/19/2019)
(6/19/2019)
(6/19/2019)
(6/19/2019)
(6/19/2019)
(6/19/2019)
(4/10/2025)
(7/26/2021)
(6/19/2019)
(6/19/2019)
(8/4/2025)
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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