Byron E. Valles

MISSION WEALTH MANAGEMENT, LP

Walnut Creek, CA 94596

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CRD#: 6925520

Professional summary

Byron Ely Valles, CFP®, who also goes by Byron E Valles, Byron Ely Valles, is a registered financial advisor currently at MISSION WEALTH MANAGEMENT, LP located in Walnut Creek, California.

Byron is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Byron has worked at 6 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Byron E Valles | Byron Ely Valles

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- 03/2020 / Rimova Real Estate / Business Owner / Non Investment Related / 5 Hr Mnth 2- 04/2023 / Byron Valles / Real Estate Rental / Investment Related / 10 HRS Mth / 80000 Hrs Trading

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Byron Ely Valles'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: 2022

Experience

Current

February 27, 2024 - Present

MISSION WEALTH MANAGEMENT, LP

Office #1: 1212 Broadway Plaza Suite 2100, Walnut Creek, CA 94596

RIA

CRD#: 113057

Walnut Creek, CA

Past

July 13, 2023 - February 26, 2024

LPL FINANCIAL LLC

RIA

CRD#: 6413

SAN MATEO, CA

Past

July 13, 2023 - February 26, 2024

LPL FINANCIAL LLC

CRD#: 6413

SAN MATEO, CA

Past

June 16, 2021 - June 21, 2023

J.P. MORGAN PRIVATE WEALTH ADVISORS LLC

RIA

CRD#: 108559

San Francisco, CA

Past

June 16, 2021 - June 21, 2023

FIRST REPUBLIC SECURITIES COMPANY, LLC

CRD#: 105108

San Francisco, CA

Past

June 17, 2019 - June 13, 2021

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

DUBLIN, CA

Past

June 12, 2019 - June 9, 2021

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

DUBLIN, CA

Past

September 28, 2018 - May 28, 2019

J.P. MORGAN PRIVATE WEALTH ADVISORS LLC

RIA

CRD#: 108559

San Francisco, CA

Past

May 12, 2018 - May 28, 2019

FIRST REPUBLIC SECURITIES COMPANY, LLC

CRD#: 105108

SAN FRANCISCO, 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".

MISSION WEALTH MANAGEMENT, LP

MISSION WEALTH | MISSION WEALTH MANAGEMENT, LP | MISSION WEALTH MANAGEMENT, LLC

CRD#: 113057 / SEC#: 801-61230

RIA

Registered Investment Advisory firm - (6/7/2002 Approved)

California

Registered Investment Advisory firm - (6/14/2002 Terminated)

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).

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
(2/27/2024)

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: 9/28/2018

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: 5/11/2018

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 5/8/2019

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/25/2019

General Securities Sales Supervisor - Options Module Examination

Current Firm

MISSION WEALTH MANAGEMENT, LP

MISSION WEALTH | MISSION WEALTH MANAGEMENT, LP | MISSION WEALTH MANAGEMENT, LLC

CRD#: 113057 / SEC#: 801-61230

RIA

Registered Investment Advisory firm - (6/7/2002 Approved)

California

Registered Investment Advisory firm - (6/14/2002 Terminated)

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Contact information

Main Address

1111 Chapala Street 3rd Floor, Santa Barbara, CA 93101

Mailing Address

Phone number

(805) 882-2360

Established

Firm type

Fiscal year end

# of Employees

145

SEC notice filing (41 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MWM FORM ADV PART 2A - FIRM BROCHURE (5/20/2025)

Regulatory assets under management

Total Number of Accounts	12,456
AUM (Assets Under Management)	$ 10,024,060,630

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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Byron E. Valles

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Byron Ely Valles's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

J.P. MORGAN PRIVATE WEALTH ADVISORS LLC

FIRST REPUBLIC SECURITIES COMPANY, LLC

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY BROKERAGE SERVICES LLC

J.P. MORGAN PRIVATE WEALTH ADVISORS LLC

FIRST REPUBLIC SECURITIES COMPANY, LLC

Primary Firm SEC Registration

MISSION WEALTH MANAGEMENT, LP

State Registrations and Notice Filings

Exams

Series 66

Date: 9/28/2018

SIE

Date: 10/1/2018

Series 7

Date: 5/11/2018

Series 10

Date: 5/8/2019

Series 9

Date: 1/25/2019

Current Firm

MISSION WEALTH MANAGEMENT, LP

Contact information

SEC notice filing (41 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MISSION WEALTH MANAGEMENT, LP

TRUST BUT VERIFY

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