BA
Brian Asman
VALLEY WEALTH MANAGERS
Aventura, FL 33180
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CRD#: 7039665
BA
Professional summary
Brian Asman is a registered financial advisor currently at VALLEY WEALTH MANAGERS, INC. located in Aventura, Florida and VALLEY FINANCIAL MANAGEMENT, INC. located in Aventura, Florida.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Brian has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Brian Asman'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®
NoneExperience
Current
August 11, 2023 - Present
VALLEY WEALTH MANAGERS, INC.
Office #1: 19495 Biscayne Blvd. Suite 500, Aventura, FL 33180RIA
CRD#: 108879
Aventura, FL
Current
December 19, 2018 - Present
VALLEY FINANCIAL MANAGEMENT, INC.
Office #1: 19495 Biscayne Blvd. Suite 500, Aventura, FL 33180RIA
BD
CRD#: 105387
Aventura, FL
Past
September 23, 2019 - July 26, 2023
VALLEY FINANCIAL MANAGEMENT, INC.
RIA
CRD#: 105387
NEW YORK, NY
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".
VW
VALLEY WEALTH MANAGERS, INC.
HALLMARK CAPITAL MANAGEMENT | VALLEY WEALTH MANAGERS, INC. | NEW CENTURY ASSET MANAGEMENT | HALLMARK CAPITAL MANAGEMENT INC
CRD#: 108879 / SEC#: 801-25461
RIA
Registered Investment Advisory firm - (10/11/1985 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(10/10/2019)
RR
Colorado(4/27/2021)
RR
Connecticut(11/19/2021)
RR
Delaware(4/5/2021)
RR
Florida(12/19/2018)
IAR
Florida(8/11/2023)
RR
Georgia(11/19/2021)
RR
Illinois(4/27/2021)
RR
Kentucky(7/2/2020)
RR
Louisiana(10/10/2019)
RR
Maryland(11/19/2021)
RR
Massachusetts(5/19/2021)
RR
Minnesota(11/19/2021)
RR
Missouri(4/27/2021)
RR
Nevada(4/16/2021)
RR
New Jersey(10/10/2019)
RR
New York(10/10/2019)
RR
Ohio(10/10/2019)
RR
Pennsylvania(4/5/2021)
RR
South Carolina(11/19/2021)
RR
South Dakota(4/27/2021)
RR
Texas(10/10/2019)
RR
Virginia(11/19/2021)
RR
Washington(10/19/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/19/2018
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VW
VALLEY WEALTH MANAGERS, INC.
HALLMARK CAPITAL MANAGEMENT | VALLEY WEALTH MANAGERS, INC. | NEW CENTURY ASSET MANAGEMENT | HALLMARK CAPITAL MANAGEMENT INC
CRD#: 108879 / SEC#: 801-25461
RIA
Registered Investment Advisory firm - (10/11/1985 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
80 East Ridgewood Ave Suite 3, Paramus, NJ 07652
Mailing Address
Phone number
(888) 794-7940
Established
Firm type
Fiscal year end
# of Employees
54
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
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Company Information
VALLEY WEALTH MANAGERS, INC.
CRD#: 108879Aventura, FL 33180TRUST BUT VERIFY
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