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Adam C. Vaal

VAAL FINANCIAL
Indianapolis, IN
Some features on this profile are disabled
CRD#: 6117952
AV

Professional summary

Adam Christopher Vaal is a registered financial advisor currently at VAAL FINANCIAL, LLC located in Indianapolis, Indiana.

Adam is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Adam has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

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.
Multifamily Finance Consulting, LLC. I consulting for multifamily real estate developers with the financing of the projects. Non-investment related. Started February 2023 after terminating my employment at TWG Development. 10 hours a week. Address is 27 E. Main Street, Suite 200, Carmel, IN 46032

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam Christopher Vaal's 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

February 19, 2018 - Present

VAAL FINANCIAL, LLC

RIA
CRD#: 290772
Indianapolis, IN
Past

September 23, 2016 - December 20, 2017

FDX ADVISORS, INC.

RIA
CRD#: 104601
Evansville, IN
Past

September 1, 2015 - May 3, 2016

OSAIC FS, INC.

RIA
CRD#: 3870
EVANSVILLE, IN
Past

September 1, 2015 - May 3, 2016

OSAIC FS, INC.

BD
CRD#: 3870
EVANSVILLE, IN
Past

June 8, 2015 - August 24, 2015

PNC WEALTH MANAGEMENT LLC

RIA
CRD#: 129052
INDIANAPOLIS, IN
Past

June 8, 2015 - August 24, 2015

PNC WEALTH MANAGEMENT LLC

BD
CRD#: 129052
INDIANAPOLIS, IN
Past

July 15, 2013 - February 27, 2015

EDWARD JONES

RIA
CRD#: 250
NEW PALESTINE, IN
Past

June 25, 2013 - February 27, 2015

EDWARD JONES

BD
CRD#: 250
NEW PALESTINE, IN

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
Indiana
(2/19/2018)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/12/2013
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/3/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/24/2013
General Securities Representative Examination

Current Firm

VF
VAAL FINANCIAL, LLC
VAAL FINANCIAL, LLC | WILLOW FINANCIAL CONSULTING, LLC | VAAL, ADAM, CHRISTOPHER

CRD#: 290772 / SEC#:

Indiana
Registered Investment Advisory firm - (2/19/2018 Approved)
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Contact information

Main Address
Indianapolis, IN
Mailing Address
Phone number
(317) 721-8112
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts22
AUM (Assets Under Management)$ 816,980

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
SEC / JURISDICTIONREPORTING STATUSEFFECTIVE DATE
IndianaERA - Withdrawn2/6/2018

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.

Company Information

VAAL FINANCIAL, LLC

CRD#: 290772Indianapolis, IN

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