Nicole Kiomi Kikugawa
Investment Adviser Representative at Valley Wealth Strategies, LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Nicole Kiomi Kikugawa is an investment adviser representative with Valley Wealth Strategies, LLC in Sonora, CA, where they have been registered since 2017. They have worked in the securities industry since 2004 and have been registered with 6 firms, including LPL Financial LLC and Valley Wealth Strategies. They have passed 5 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in California.
Registrations & licenses
- Investment adviser:
- California
- Broker:
10 states and territories
Alabama, California, Colorado, Florida, Idaho, Minnesota, New York, Oregon, Utah, Wisconsin
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- National Planning CorporationSep 2009 – Nov 2017Emeryville, CA
- Valley Wealth Strategies, LLCMay 2017 – no end date reportedSonora, CA
- LPL Financial LLCNov 2017 – no end date reportedSonora, CA
Official records & sources
Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Valley Wealth Strategies, LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
- Estimated blended rate
- 0.0125
- First $500,0001.25%
- Next $500,000 up to $1,500,0001.00%
- Over $1,500,0000.00%
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Sound financial planning, portfolio construction, Social Security maximization, tax efficiency strategies, and behavioral coaching, with a special focus on retirement planning and investment management.
Client types the firm serves
Firm assets under management
$1B–$5B
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 24
- Offices listed on AdvisorFinder:
- 19
- Main office:
- Lodi, CA
- Founded:
- 1974
- SEC file number:
- 801-113081
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of June 1, 2026
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Nicole Kiomi Kikugawa has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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