Marlon Cruz
Professional summary
Marlon Cruz is a registered financial advisor currently at VALLEY WEALTH MANAGERS, INC. located in Aventura, Florida and VALLEY FINANCIAL MANAGEMENT, INC. located in Aventura, Florida.
Marlon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Marlon has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Marlon Cruz'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 33180November 23, 2016 - Present
VALLEY FINANCIAL MANAGEMENT, INC.
Office #1: 19495 Biscayne Blvd. Suite 500, Aventura, FL 33180January 3, 2017 - July 26, 2023
VALLEY FINANCIAL MANAGEMENT, INC.
February 6, 2015 - November 2, 2016
J.P. MORGAN SECURITIES LLC
January 3, 2014 - February 11, 2015
VALLEY FINANCIAL MANAGEMENT, INC.
October 1, 2013 - February 11, 2015
VALLEY FINANCIAL MANAGEMENT, 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
(1/6/2017)
(10/6/2020)
(10/6/2020)
(11/23/2016)
(8/7/2023)
(10/6/2020)
(1/6/2017)
(1/6/2017)
(1/6/2017)
(10/6/2020)
(10/6/2020)
(1/6/2017)
(11/23/2016)
(10/6/2020)
(10/6/2020)
(10/6/2020)
(9/20/2024)
(1/6/2017)
(1/6/2017)
(10/4/2022)
(10/6/2020)
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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Company Information
VALLEY WEALTH MANAGERS, INC.
CRD#: 108879Aventura, FL 33180TRUST BUT VERIFY
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