CS
Caleb Sasson
VALLEY WEALTH STRATEGIES
Menlo Park, CA 94025
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CRD#: 7362533
CS
Professional summary
Caleb Sasson is a registered financial advisor currently at VALLEY WEALTH STRATEGIES, LLC located in Menlo Park, California and LPL FINANCIAL LLC located in Menlo Park, California.
Caleb is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Caleb 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.
1) Caleb Sasson is dually� registered as an investment advisor representative ("IAR") with Valley Wealth Strategies, LLC ("VWS") and as a registered representative ("RR") with LPL Financial LLC ("LPL Financial"). Mr. Sasson spends approximately 70% of his business time providing services through VWS and the balance with LPL Financial. 2) 10/2021 - Notary - Caleb Sasson - Investment Related - Menlo Park, CA 94025 3) 07/12/2022 - Valley Wealth Strategies, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR-Advisor - Start Date - 06-2022 - 112 Hours Per Month - Time Spent 70 % - I provide investment advisory services through Valley Wealth Strategies, LLC, an independent investment advisor firm. I started this business activity in 6/2022. I expect to spend approximately 112 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Caleb Sasson'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
July 7, 2022 - Present
VALLEY WEALTH STRATEGIES, LLC
Office #1: 535 Middlefield Road Suite 140, Menlo Park, CA 94025RIA
CRD#: 289737
Menlo Park, CA
Current
May 2, 2022 - Present
LPL FINANCIAL LLC
Office #1: 535 Middlefield Rd Ste 140, Menlo Park, CA 94025RIA
BD
CRD#: 6413
MENLO PARK, 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".
VW
VALLEY WEALTH STRATEGIES, LLC
DRUMMOND & ASSOCIATES | ZUK FINANCIAL GROUP | VWS | VALLEY WEALTH STRATEGIES, LLC
CRD#: 289737 / SEC#: 801-113081
RIA
Registered Investment Advisory firm - (4/27/2018 Approved)California
Registered Investment Advisory firm - (6/1/2018 Terminated)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(6/27/2022)
IAR
California(7/7/2022)
RR
Washington(8/21/2024)
RR
Wisconsin(2/10/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/30/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VW
VALLEY WEALTH STRATEGIES, LLC
DRUMMOND & ASSOCIATES | ZUK FINANCIAL GROUP | VWS | VALLEY WEALTH STRATEGIES, LLC
CRD#: 289737 / SEC#: 801-113081
RIA
Registered Investment Advisory firm - (4/27/2018 Approved)California
Registered Investment Advisory firm - (6/1/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
404 W. Pine Street Suite 6, Lodi, CA 95240
Mailing Address
Phone number
(209) 366-1264
Established
Firm type
Fiscal year end
# of Employees
30
SEC notice filing (20 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 8,131 |
| AUM (Assets Under Management) | $ 1,205,186,000 |
Red Flags
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Company Information
VALLEY WEALTH STRATEGIES, LLC
CRD#: 289737Menlo Park, CA 94025TRUST BUT VERIFY
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