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DT

Daniel E. Tapia

REMBRANDT FINANCIAL GROUP LLC
Austin, TX 78746
Some features on this profile are disabled
CRD#: 2219749
DT

Professional summary

Daniel Enrique Tapia, CFP®, who also goes by Daniel Tapia, is a registered financial advisor currently at REMBRANDT FINANCIAL GROUP LLC located in Austin, Texas.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Daniel has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 53, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Daniel Tapia

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Enrique Tapia'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®
CFP®

Certified Financial Planner

Start date: 2020

Experience

Current

March 15, 2022 - Present

REMBRANDT FINANCIAL GROUP LLC

Office #1: 248 Addie Roy Road Suite C 103, Austin, TX 78746
RIA
CRD#: 318415
Austin, TX
Past

August 25, 2016 - April 7, 2022

LPL FINANCIAL LLC

RIA
CRD#: 6413
AUSTIN, TX
Past

August 25, 2016 - April 7, 2022

LPL FINANCIAL LLC

BD
CRD#: 6413
AUSTIN, TX
Past

January 4, 2005 - August 26, 2016

VOYA FINANCIAL ADVISORS, INC.

RIA
CRD#: 2882
AUSTIN, TX
Past

November 30, 2004 - August 26, 2016

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
AUSTIN, TX
Past

June 16, 1992 - July 15, 2004

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
AUSTIN, TX
Past

May 1, 1992 - January 5, 2000

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039
NEW YORK, NY
Past

May 1, 1992 - July 15, 2004

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY

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".
RF
REMBRANDT FINANCIAL GROUP LLC
REMBRANDT FINANCIAL GROUP LLC | REMBRANDT FINANCIAL GROUP, LLC

CRD#: 318415 / SEC#: 801-123166

RIA
Registered Investment Advisory firm - (2/9/2022 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.

Highlighted states indicate IAR registrations

IAR
Texas
(3/15/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/29/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/11/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/25/1998
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/29/1992
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 5/5/2003
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/23/1999
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 5/26/1995
Investment Company Products/Variable Contracts Principal Examination

Current Firm

RF
REMBRANDT FINANCIAL GROUP LLC
REMBRANDT FINANCIAL GROUP LLC | REMBRANDT FINANCIAL GROUP, LLC

CRD#: 318415 / SEC#: 801-123166

RIA
Registered Investment Advisory firm - (2/9/2022 Approved)
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Contact information

Main Address
248 Addie Roy Road Suite C 103, Austin, TX 78746
Mailing Address
Phone number
(512) 306-1314
Established
Firm type
Fiscal year end
# of Employees
5

SEC notice filing (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2A- REMBRANDT FINANCIAL GROUP LLC (11/12/2025)

Regulatory assets under management

Total Number of Accounts475
AUM (Assets Under Management)$ 188,589,586

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.

Company Information

REMBRANDT FINANCIAL GROUP LLC

CRD#: 318415Austin, TX 78746

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