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Detailed Report
PAUL FREDERICK VALENCIA MR
PAUL FREDERICK VALENCIA
CRD#: 1074828
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Investment Adviser
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Previous Broker
VINEYARD WEALTH ADVISORY LLCCRD#: 179529 TEMECULA, CA
Registration History
1985199019952000200520102015202020252 FIRMS2001 - 2009 (8 years)2 FIRMS2009 - 2015 (5 years)IAVINEYARD WEALTH ADVISORY LLC (CRD# 179529)2015 - Present (9 years)BFIRST UNION SECURITIES, INC. (CRD# 19616)1990 - 2001 (10 years)BBATEMAN EICHLER, HILL RICHARDS... (CRD# 76)1987 - 1990 (3 years)BE.M.R. ENTERPRISES (CRD# 17986)1987 - 1987 (<1 year)BFREEMAN FINANCIAL SERVICES COR... (CRD# 6722)1983 - 1983 (<1 year)
Disclosure(s)
View By:
4/25/2016
Regulatory
Final
9/10/2013
Judgment / Lien
1/2/2002
Customer Dispute
Settled
5/2/1990
Customer Dispute
Settled
License(s)

State Registrations

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California 5/6/2015
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Texas 3/30/2022
Current Registration(s)
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VINEYARD WEALTH ADVISORY LLC (CRD#:179529)
TEMECULA, CA
Registered with this firm since 5/6/2015
Previous Registration(s)
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 09/26/2009 - 01/20/2015 WORLD EQUITY GROUP, INC. (CRD#:29087) TEMECULA, CA
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 09/30/2009 - 01/20/2015 WORLD EQUITY GROUP, INC. (CRD#:29087) TEMECULA, CA
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 08/01/2001 - 10/01/2009 LPL FINANCIAL CORPORATION (CRD#:6413) TEMECULA, CA
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 06/06/2001 - 10/01/2009 LPL FINANCIAL CORPORATION (CRD#:6413) TEMECULA, CA
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 09/04/1990 - 06/19/2001 FIRST UNION SECURITIES, INC. (CRD#:19616) ST. LOUIS, MO
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 03/16/1987 - 09/04/1990 BATEMAN EICHLER, HILL RICHARDS, INCORPORATED (CRD#:76)
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 01/21/1987 - 04/01/1987 E.M.R. ENTERPRISES (CRD#:17986)
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 02/24/1983 - 10/05/1983 FREEMAN FINANCIAL SERVICES CORPORATION (CRD#:6722)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.