Dean A. Wolpert

INTRUA FINANCIAL

Houston, TX 77098

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CRD#: 1203619

Professional summary

Dean Andrew Wolpert is a registered financial advisor currently at INTRUA FINANCIAL located in Houston, Texas and LPL FINANCIAL LLC located in Houston, Texas.

Dean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Dean has worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. 03/11/2015 - INTRUA FINANCIAL - ALL SERVICES OFFERED THROUGH THE DBA ARE LPL FINANCIAL SECURITIES RELATED BUSINESS. - TIME SPENT 0 - HOUSTON, TX 2. 01/29/2016 * Wolpert Financial Group, Inc. * Business Entity For Tax/Investment Purposes Only * INV REL * AT REPORTED BUSINESS LOCATION(S) * START 01/22/2016 3. 02/16/2016 * Intrua Financial * Registered Investment Advisor Hybrid * INV REL * AT REPORTED BUSINESS LOCATION(S) * START 02/16/2016 * 100 HRS/MO; 80 HRS/MO DURING SECS TRDG HRS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dean Andrew Wolpert's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 12, 2016 - Present

INTRUA FINANCIAL

Office #1: 3737 Buffalo Speedway Suite 400, Houston, TX 77098

RIA

CRD#: 281554

Houston, TX

Current

April 5, 2010 - Present

LPL FINANCIAL LLC

Office #1: 3737 Buffalo Speedway Ste 400, Houston, TX 77098

RIA

CRD#: 6413

Houston, TX

Past

April 5, 2010 - September 8, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

FAYETTEVILLE, TX

Past

May 10, 2004 - April 6, 2010

BBVA COMPASS INVESTMENT SOLUTIONS, INC

RIA

CRD#: 17086

HOUSTON, TX

Past

October 14, 1996 - April 6, 2010

BBVA COMPASS INVESTMENT SOLUTIONS, INC

CRD#: 17086

HOUSTON, TX

Past

August 19, 1996 - September 27, 1996

WELLS FARGO SECURITIES INC.

CRD#: 17438

SAN FRANCISCO, CA

Past

September 14, 1995 - August 19, 1996

FIRST INTERSTATE INVESTMENTS,INC.

CRD#: 17101

Past

October 15, 1993 - November 15, 1995

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

NAPA, CA

Past

December 16, 1988 - July 8, 1992

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

August 20, 1985 - November 25, 1988

ROTAN MOSLE INC.

CRD#: 727

Past

December 16, 1983 - December 23, 1985

NEW ENGLAND SECURITIES

CRD#: 615

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

INTRUA FINANCIAL

CRD#: 281554 / SEC#: 801-106767

RIA

Registered Investment Advisory firm - (10/23/2015 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(6/4/2010)

Arkansas
(1/16/2024)

California
(5/13/2010)

Colorado
(4/8/2022)

District of Columbia
(5/19/2010)

Florida
(1/3/2025)

Georgia
(7/25/2013)

Hawaii
(11/20/2024)

Kentucky
(5/12/2010)

Louisiana
(6/6/2014)

Missouri
(5/12/2010)

Nevada
(5/25/2010)

New Jersey
(7/28/2016)

North Carolina
(5/17/2010)

Ohio
(8/20/2024)

Pennsylvania
(1/25/2017)

South Carolina
(1/8/2014)

Tennessee
(2/1/2021)

Texas
(4/5/2010)

IAR

Texas
(2/12/2016)

Virginia
(2/25/2021)

Washington
(2/24/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 1/10/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/17/1985

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/15/1983

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/27/2010

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

INTRUA FINANCIAL

CRD#: 281554 / SEC#: 801-106767

RIA

Registered Investment Advisory firm - (10/23/2015 Approved)

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Contact information

Main Address

3737 Buffalo Speedway Suite 400, Houston, TX 77098

Mailing Address

Phone number

(713) 355-9910

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (36 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

INTRUA ADV PART 2A (3/31/2025)

INTRUA PART 2A APPENDIX 1 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	5,051
AUM (Assets Under Management)	$ 1,212,765,982

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Dean A. Wolpert

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dean Andrew Wolpert's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

BBVA COMPASS INVESTMENT SOLUTIONS, INC

BBVA COMPASS INVESTMENT SOLUTIONS, INC

WELLS FARGO SECURITIES INC.

FIRST INTERSTATE INVESTMENTS,INC.

ESSEX NATIONAL SECURITIES, LLC

CAPITAL BROKERAGE CORPORATION

ROTAN MOSLE INC.

NEW ENGLAND SECURITIES

Primary Firm SEC Registration

INTRUA FINANCIAL

State Registrations and Notice Filings

Exams

Series 63

Date: 1/10/1984

SIE

Date: 10/1/2018

Series 7

Date: 8/17/1985

Series 6

Date: 12/15/1983

Series 24

Date: 5/27/2010

FINRA

Current Firm

INTRUA FINANCIAL

Contact information

SEC notice filing (36 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

INTRUA FINANCIAL

TRUST BUT VERIFY

Contact information

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