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Detailed Report
NICOLE KIOMI KIKUGAWA
CRD#: 4818744
IA
Investment Adviser
B
Broker
VALLEY WEALTH STRATEGIES, LLCCRD#: 289737 316 S. Stewart Street
Suite #1
Sonora, CA 95370
LPL FINANCIAL LLCCRD#: 6413 22956 EL TORO ROAD
LAKE FOREST, CA 92630-4961
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2008 - 2009 (1 year)2 FIRMS2009 - 2017 (8 years)2 FIRMS2017 - Present (7 years)BPENSION PLANNERS SECURITIES, INC. (CRD# 14068)2006 - 2008 (2 years)BAIG FINANCIAL ADVISORS, INC. (CRD# 133763)2005 - 2006 (<1 year)BSUNAMERICA SECURITIES, INC. (CRD# 20068)2004 - 2005 (1 year)IALPL FINANCIAL LLC (CRD# 6413)2020 - 2022 (2 years)IALPL FINANCIAL LLC (CRD# 6413)2017 - 2018 (<1 year)IAVALLEY WEALTH STRATEGIES (CRD# 282275)2017 - 2017 (<1 year)IAPENSION PLANNERS SECURITIES, INC. (CRD# 14068)2008 - 2008 (<1 year)
License(s)

State Registrations

B
Alabama 10/31/2024
B
Minnesota 11/29/2017
IA
California 10/20/2017
B
New York 11/29/2017
B
California 11/29/2017
B
Oregon 12/4/2020
B
Colorado 3/3/2020
B
Utah 11/29/2017
B
Florida 12/3/2020
B
Wisconsin 8/16/2022
B
Idaho 8/20/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
VALLEY WEALTH STRATEGIES, LLC (CRD#:289737)
316 S. Stewart Street Suite #1, Sonora, CA 95370
Registered with this firm since 10/20/2017
B
LPL FINANCIAL LLC (CRD#:6413)
22956 EL TORO ROAD, LAKE FOREST, CA 92630-4961
SONORA, CA
Registered with this firm since 11/29/2017
Previous Registration(s)
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 10/29/2020 - 10/28/2022 LPL FINANCIAL LLC (CRD#:6413) LAKE FOREST, CA
IA
 11/29/2017 - 04/04/2018 LPL FINANCIAL LLC (CRD#:6413) LAKE FOREST, CA
IA
 05/16/2017 - 12/31/2017 VALLEY WEALTH STRATEGIES (CRD#:282275) Sonora, CA
IA
 10/06/2009 - 11/29/2017 NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) (CRD#:29604) SONORA, CA
B
 09/24/2009 - 11/29/2017 NATIONAL PLANNING CORPORATION (CRD#:29604) SONORA, CA
IA
 08/13/2008 - 09/28/2009 FINANCIAL NETWORK INVESTMENT CORPORATION (CRD#:13572) SAN JOSE, CA
B
 08/13/2008 - 09/28/2009 FINANCIAL NETWORK INVESTMENT CORPORATION (CRD#:13572) SAN JOSE, CA
IA
 08/07/2008 - 08/13/2008 PENSION PLANNERS SECURITIES, INC. (CRD#:14068) SAN JOSE, CA
B
 03/14/2006 - 08/13/2008 PENSION PLANNERS SECURITIES, INC. (CRD#:14068) SAN JOSE, CA
B
 10/31/2005 - 03/03/2006 AIG FINANCIAL ADVISORS, INC. (CRD#:133763) SAN DIEGO, CA
B
 07/08/2004 - 10/31/2005 SUNAMERICA SECURITIES, INC. (CRD#:20068) PHOENIX, AZ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.