0001128122-24-000001.txt : 20240228 0001128122-24-000001.hdr.sgml : 20240228 20240228113403 ACCESSION NUMBER: 0001128122-24-000001 CONFORMED SUBMISSION TYPE: X-17A-5 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20231231 FILED AS OF DATE: 20240228 DATE AS OF CHANGE: 20240228 EFFECTIVENESS DATE: 20240228 PERIOD START: 20230101 FILER: COMPANY DATA: COMPANY CONFORMED NAME: VALLEY FINANCIAL MANAGEMENT, INC. CENTRAL INDEX KEY: 0001128122 ORGANIZATION NAME: IRS NUMBER: 134132289 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: X-17A-5 SEC ACT: 1934 Act SEC FILE NUMBER: 008-52993 FILM NUMBER: 24692070 BUSINESS ADDRESS: STREET 1: 350 MADISON AVE. STREET 2: 4TH FLOOR, COMPLIANCE DEPARTMENT CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 1-212-626-1138 MAIL ADDRESS: STREET 1: 350 MADISON AVE. STREET 2: 4TH FLOOR, COMPLIANCE DEPARTMENT CITY: NEW YORK STATE: NY ZIP: 10017 FORMER COMPANY: FORMER CONFORMED NAME: LEUMI INVESTMENT SERVICES INC. DATE OF NAME CHANGE: 20220517 FORMER COMPANY: FORMER CONFORMED NAME: VALLEY FINANCIAL MANAGEMENT, INC. DATE OF NAME CHANGE: 20220502 FORMER COMPANY: FORMER CONFORMED NAME: LEUMI INVESTMENT SERVICES INC. DATE OF NAME CHANGE: 20020301 X-17A-5 1 primary_doc.xml X-17A-5 0001128122 XXXXXXXX LIVE true false false 01-01-2023 12-31-2023 Broker-dealer N VALLEY FINANCIAL MANAGEMENT, INC. 350 MADISON AVE. 4TH FLOOR, COMPLIANCE DEPARTMENT NEW YORK NY 10017 Jamie R Mayo 19172075323 CohnReznick LLP 1301 Avenue of the Americas 7th Floor New York NY 10019 Certified Public Accountant Joseph Colleran VALLEY FINANCIAL MANAGEMENT, INC. 02-27-2024 Joseph Colleran President Y FULL 2 2023VFMShort1.pdf SHORT VERSION begin 644 2023VFMShort1.pdf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