Ronald Valpey has been Owner, Managing Member, Chief Compliance Officer of Valpey Financial Services since April 2010, is a control person of the firm and directly owns 75% or more of it.
Valpey Financial Services LLC is a Concord, NH firm with $226M under management, 186 clients and 1 adviser across 2 offices, as of its March 2026 filing.
Ronald Valpey’s longest registration is the current one, 16 years at Valpey Financial Services since 2010. Before joining Valpey Financial Services in 2010, Ronald Valpey was registered through Focus Capital Wealth Management, Inc. and Jefferson Pilot Securities Corp.
- – present · 16 yearsConcord, NH · Adviser representative · Firm CRD 154154
- Focus Capital Wealth Management, Inc.– · 7 yearsBedford, NH · Adviser representative · Firm CRD 117715
- Jefferson Pilot Securities Corp– · 1 yearBedford, NH · Adviser representative · Firm CRD 3870
Investment adviser representative registrations
Ronald Valpey is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from July 2010; the most recent is Texas, in April 2012.
- New HampshireSince 2 July 2010
- TexasResidentSince 20 April 2012
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 24 | General Securities Principal Examination | 21 October 2002 |
| Series 66 | Uniform Combined State Law Examination | 25 June 1999 |
| Series 7 | General Securities Representative Examination | 1 June 1999 |
- Name
- General Securities Principal Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Ronald Louis Valpey
- CRD
- 3220507
- Firm
- Valpey Financial Services · CRD 154154
- Role
- Owner, Managing Member, Chief Compliance Officer
- Office
- 100 NORTH MAIN STREET SUITE 500, Concord, NH 03301
- Registration
- Investment adviser registration
- In the industry since
- May 2001
- Disciplinary history
- Not yet shown here · SEC record
Where does Ronald Valpey work?
Ronald Valpey has been Owner, Managing Member, Chief Compliance Officer of Valpey Financial Services LLC since April 2010, and is a control person of the firm.
Is Ronald Valpey a financial advisor?
Yes. Ronald Valpey has a current investment-adviser registration in New Hampshire and Texas, through Valpey Financial Services since July 2010.
How many years of experience does Ronald Valpey have?
Ronald Valpey has 25 years in the financial industry, since May 2001, across 3 adviser firms.
What exams has Ronald Valpey passed?
Ronald Valpey has passed 3 licensing exams: the Series 7, Series 66 and Series 24. The earliest, the Series 7, was passed in June 1999.
Where did Ronald Valpey work before Valpey Financial Services?
Before Valpey Financial Services, Ronald Valpey was registered through Focus Capital Wealth Management, Inc., November 2002 to July 2010; Jefferson Pilot Securities Corp, May 2001 to October 2002.
Where is Ronald Valpey based?
Ronald Valpey’s registered office is in Concord, NH.
Is Ronald Valpey registered with FINRA?
No. Ronald Valpey has no current broker registration.
How can I verify Ronald Valpey’s record?
Search CRD 3220507 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Ronald Valpey’s full registration record.