JK
Judge C. Katz
VALLEY WEALTH STRATEGIES
BRAWLEY, CA 92227
Some features on this profile are disabled
CRD#: 7871326
JK
Professional summary
Judge C Katz, who also goes by Judge Katz, is a registered financial advisor currently at VALLEY WEALTH STRATEGIES, LLC located in Brawley, California.
Judge is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2024. Judge has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Judge Katz
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) Wavra Financial Services / DBA for LPL Business (entity for LPL business) and Non-Variable Insurance / Inv. Related / Brawley CA 92227 Start date 10/14/2024 - 10% Time Spent 2) GRADE POTENTIAL/TUTOR HERO / Outside/W-2 Employment / Privater Tutor - / Non Inv. Related / San Diego CA 92102 Start date 09/2023 - 5Hrs per month - 5% Time Spent 3) ZIGGY'S TUTORING / Outside/W-2 Employment / Tutor / Non Inv. Related / San Diego CA 92139 - Start date 06/2022 - 15% Time Spent 4) ZIGGY'S HOUSE / Outside Employment / Board Member / Non Inv. Related / San Diego CA 92139 - Start date 02/2019 - 5% Time Spent 5) 04/09/2025 - Valley Wealth Strategies, LLC - Investment Related - Registered Investment Advisor Hybrid - At Reported Business Location(s) - Start Date: 10/05/2024 - I provide investment advisory services through Valley Wealth Strategies, LLC, an independent investment advisor firm. I started this business activity in 10/2024. I expect to spend approximately 160 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. - 160 Hrs/Mth - 6 Hrs During Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Judge C Katz'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
March 28, 2025 - Present
VALLEY WEALTH STRATEGIES, LLC
Office #1: 560 N 8th St Suite D, Brawley, CA 92227RIA
CRD#: 289737
BRAWLEY, CA
Past
March 4, 2025 - June 11, 2025
LPL FINANCIAL LLC
RIA
CRD#: 6413
BRAWLEY, CA
Past
November 18, 2024 - June 11, 2025
LPL FINANCIAL LLC
BD
CRD#: 6413
BRAWLEY, 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.Highlighted states indicate IAR registrations
IAR
California(3/28/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/18/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
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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