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Mario Valverde

Mario Valverde

MANCHESTER FINANCIAL | Planning Consultant
Westlake Village, CA 91361
Some features on this profile are disabled
CRD#: 6552222
Mario Valverde

Professional summary

Mario Valverde, who also goes by Mario A Valverde, is a registered financial advisor currently at MANCHESTER FINANCIAL INC located in Westlake Village, California.

Mario is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Mario has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

Biography

Financial Planning is a changing and growing aspect of my clients lives. My Approach is to meet them where ever they are in the process and level of experience. From their my role is to educate and offer options as my client self discover what their wants and needs are for themselves and loved ones. The process should feel simple and natural and allow the client to explore while making clear decisions at the end of the day.
top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Mario A Valverde

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) 05/2021 Independent Licensed insurance Agent; Investment Related; Westlake Village, CA;Life, Health & Accident, Var Life & Var Annuity (2) property, property rental, sole proprietor, non investment, <5% of his time.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mario Valverde'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®
None

Education

University of Southern California

Bachelor of Business Administration - Finance

1988

Experience

Current

August 11, 2023 - Present

MANCHESTER FINANCIAL INC

Office #1: 2815 Townsgate Road Suite 100, Westlake Village, CA 91361
RIA
CRD#: 106071
Westlake Village, CA
Past

January 28, 2020 - August 23, 2023

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA
CRD#: 288590
TORRANCE, CA
Past

November 4, 2019 - August 22, 2023

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
TORRANCE, 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".
MF
MANCHESTER FINANCIAL INC
MANCHESTER FINANCIAL INC

CRD#: 106071 / SEC#: 801-37370

RIA
Registered Investment Advisory firm - (9/14/1990 Approved)

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
California
(8/11/2023)
IAR
Texas
(2/27/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/15/2020
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 11/4/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/7/2019
Securities Industry Essentials Examination

Current Firm

MF
MANCHESTER FINANCIAL INC
MANCHESTER FINANCIAL INC

CRD#: 106071 / SEC#: 801-37370

RIA
Registered Investment Advisory firm - (9/14/1990 Approved)
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Contact information

Main Address
2815 Townsgate Road Suite 100, Westlake Village, CA 91361
Mailing Address
Phone number
(805) 495-4405
Established
Firm type
Fiscal year end
# of Employees
20

SEC notice filing (13 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (3/21/2025)

Regulatory assets under management

Total Number of Accounts1,007
AUM (Assets Under Management)$ 946,838,290

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

MANCHESTER FINANCIAL INC

Planning ConsultantCRD#: 106071Westlake Village, CA 91361

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