Individual Firm
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DANIEL JASON BUSTER
CRD#: 2966622
IA
B
VALLEY WEALTH STRATEGIES, LLCCRD#: 289737 22956 EL TORO ROAD
LAKE FOREST, CA 92630
LAKE FOREST, CA 92630
LPL FINANCIAL LLCCRD#: 6413 22956 EL TORO ROAD
LAKE FOREST, CA 92630-4961
LAKE FOREST, CA 92630-4961
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9/11/2019
Customer Dispute
Denied
State Registrations
B
Arizona 11/29/2017
B
Idaho 5/29/2018
IA
California 10/20/2017
B
Louisiana 1/5/2018
B
California 11/29/2017
B
Oregon 5/23/2022
B
Colorado 11/29/2017
B
Washington 11/29/2017
B
Florida 4/4/2019
B
Wyoming 10/8/2020
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 10/20/2017
B
Registered with this firm since 11/29/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/29/2017 - 04/04/2018 | LAKE FOREST, CA | |
IA | 05/16/2017 - 12/31/2017 | San Dimas, CA | |
IA | 11/11/2009 - 11/29/2017 | LAKE FOREST, CA | |
B | 10/08/2009 - 11/29/2017 | LAKE FOREST, CA | |
B | 10/17/2007 - 10/15/2009 | WELLESLEY HILLS, MA | |
B | 10/01/2002 - 10/19/2007 | MINNEAPOLIS, MN | |
B | 02/07/2001 - 10/02/2002 | RADNOR, PA | |
B | 11/16/1999 - 12/05/2000 | STAMFORD, CT |
LAKE FOREST, CA
11/11/2009 - 11/29/2017
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B
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.
IA
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.