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Oscar David Flores De Valgaz

Investment Adviser Representative at LEGADO WEALTH MANAGEMENT LLC

New York, NYCRD #4598645Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
23 yrs
States Registered
2 states
Exams Passed
5

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Oscar David Flores De Valgaz has worked in the securities industry since 2003. They are registered to provide investment advisory services in New York and North Carolina.

Registrations & licenses

Registration type
Dual-registered
Registered in 2 states
New YorkNorth Carolina
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 6/19/2005
Series 7
General Securities Representative Examination
Passed 3/21/2024
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 31
Futures Managed Funds Examination
Passed 1/24/2007
Series 7
General Securities Representative Examination
Passed 1/3/2003

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

Legado Wealth Management LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

LEGADO WEALTH MANAGEMENT LLCCurrent
5/7/2021New York, NY
UCAP ASSET MANAGEMENT LLC
10/3/20188/12/2021Holliswood, NY
INSIGHT SECURITIES, INC.
7/26/20166/2/2017New York, NY
MERRILL LYNCH PIERCE FENNER & SMITH INC.
6/20/20051/9/2006New York, NY

Official records & sources

Data as of June 27, 2026 · Source: SEC IAPD & FINRA BrokerCheck

Other advisors at LEGADO WEALTH MANAGEMENT LLC

1 other advisor in the directory

View LEGADO WEALTH MANAGEMENT LLC firm profile
About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Oscar David Flores De Valgaz 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.

Oscar David Flores De Valgaz - Financial Advisor in New York, NY | AdvisorFinder