Rick L. Vala

VAMA OAK WEALTH

DOYLESTOWN, PA 18901

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CRD#: 6720835

Professional summary

Rick Louis Vala, CFP®, who also goes by Rick L Vala, Rick Vala, is a registered financial advisor currently at VAMA OAK WEALTH, LLC located in Doylestown, Pennsylvania.

Rick is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Rick has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rick L Vala | Rick Vala

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rick Louis Vala'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®

CFP^®

Certified Financial Planner

Start date: 2023

Experience

Current

November 9, 2023 - Present

VAMA OAK WEALTH, LLC

Office #1: 196 W Ashland St, Doylestown, PA 18901

RIA

CRD#: 328023

DOYLESTOWN, PA

Past

April 5, 2017 - November 13, 2023

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

JENKINTOWN, PA

Past

January 6, 2017 - November 13, 2023

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

JENKINTOWN, PA

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

Florida
(4/16/2024)

IAR

Louisiana
(4/8/2024)

IAR

New Jersey
(5/31/2024)

IAR

Pennsylvania
(11/9/2023)

IAR

Texas
(1/12/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/4/2017

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/6/2017

General Securities Representative Examination

Current Firm

VAMA OAK WEALTH, LLC

VALMAR STRATEGIC WEALTH LLC | VAMA OAK WEALTH, LLC | VAMA OAK WEALTH LLC

CRD#: 328023 / SEC#: 801-129006

RIA

Registered Investment Advisory firm - (6/3/2024 Terminated)

Florida

Registered Investment Advisory firm - (4/16/2024 Approved)

Louisiana

Registered Investment Advisory firm - (4/8/2024 Approved)

New Jersey

Registered Investment Advisory firm - (5/31/2024 Approved)

Pennsylvania

Registered Investment Advisory firm - (2/7/2024 Approved)

Texas

Registered Investment Advisory firm - (2/8/2024 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

196 W Ashland St, Doylestown, PA 18901

Mailing Address

Phone number

(215) 809-2011

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	421
AUM (Assets Under Management)	$ 81,188,129

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.

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Firm Stability Insights

Rick L. Vala

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rick Louis Vala's CRS (Customer Relationship Summary).

Certified licenses

Experience

VAMA OAK WEALTH, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 4/4/2017

SIE

Date: 10/1/2018

Series 7

Date: 1/6/2017

Current Firm

VAMA OAK WEALTH, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

VAMA OAK WEALTH, LLC

TRUST BUT VERIFY

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