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DT

Daniel W. Thomas

NEXPOINT SECURITIES
Dallas, TX 75201
Some features on this profile are disabled
CRD#: 2688966
DT

Professional summary

Daniel Wayne Thomas, who also goes by Dan Thomas, is a registered financial professional currently at NEXPOINT SECURITIES, INC. located in Dallas, Texas.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 1996. Daniel has worked at 16 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dan Thomas

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) - BD

Click below to view Daniel Wayne Thomas'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

December 17, 2025 - Present

NEXPOINT SECURITIES, INC.

Office #1: 200 Crescent Court Suite 700, Dallas, TX 75201
BD
CRD#: 165013
Dallas, TX
Past

January 21, 2025 - December 3, 2025

CONCURRENT INVESTMENT ADVISORS, LLC

RIA
CRD#: 323135
Westminster, CO
Past

September 9, 2024 - January 27, 2025

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD
CRD#: 39543
Westminster, CO
Past

May 24, 2022 - September 4, 2024

NEXPOINT SECURITIES, INC.

BD
CRD#: 165013
DALLAS, TX
Past

November 30, 2021 - May 23, 2022

NORTH CAPITAL PRIVATE SECURITIES CORPORATION

BD
CRD#: 154559
SALT LAKE CITY, UT
Past

January 22, 2019 - November 8, 2021

PATRICK CAPITAL MARKETS, LLC

BD
CRD#: 16518
Paradise Valley, AZ
Past

February 10, 2016 - November 19, 2018

CION SECURITIES, LLC

BD
CRD#: 15487
NEW YORK, NY
Past

November 30, 2011 - December 8, 2015

REALTY CAPITAL SECURITIES, LLC

BD
CRD#: 145454
NEW YORK CITY, NY
Past

November 11, 2010 - September 2, 2011

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

BD
CRD#: 40178
DENVER, CO
Past

July 11, 2007 - September 17, 2010

CAPITAL BROKERAGE CORPORATION

BD
CRD#: 10465
GLEN ALLEN, VA
Past

January 1, 2007 - June 22, 2007

RIVERSOURCE DISTRIBUTORS, INC.

BD
CRD#: 139135
MINNEAPOLIS, MN
Past

June 11, 2004 - December 31, 2006

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

June 11, 2004 - January 1, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN
Past

July 29, 2003 - May 21, 2004

FEDERATED INVESTMENT COUNSELING

RIA
CRD#: 105325
PITTSBURGH, PA
Past

August 27, 2002 - May 21, 2004

FEDERATED SECURITIES CORP.

BD
CRD#: 5009
PITTSBURGH, PA
Past

December 19, 1999 - August 5, 2002

INVESCO DISTRIBUTORS, INC.

BD
CRD#: 289
HOUSTON, TX
Past

January 9, 1996 - August 27, 1999

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX

State Registrations and Notice Filings

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

RR
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

RR
Arizona
(12/17/2025)
RR
Colorado
(12/17/2025)
RR
Montana
(12/17/2025)
RR
New Mexico
(12/17/2025)
RR
Utah
(12/17/2025)
RR
Wyoming
(12/17/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/21/2024
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 3/7/1996
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: 12/5/1995
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

NS
NEXPOINT SECURITIES, INC.
HIGHLAND CAPITAL FUNDS DISTRIBUTOR, INC. | PYXIS DISTRIBUTORS, INC. | NEXPOINT SECURITIES, INC.

CRD#: 165013 / SEC#: , 8-69128

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
200 Crescent Court, Suite 700, Dallas, TX 75201
Mailing Address
200 Crescent Court, Suite 700, Dallas, TX 75201
Phone number
(833) 697-6246
Established
Delaware since 06/14/2012
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
NEXPOINT ASSET MANAGEMENT, L.P.SHAREHOLDER149653
HOLT, DAVID ERICCHIEF COMPLIANCE OFFICER/ POO2426935
NORRIS, DUSTIN DAVIDPRESIDENT6624477
RUSSELL, SARAH DETLINGFINOP / PFO6727189

Disclosures

Regulatory Event1

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

NEXPOINT SECURITIES, INC.

CRD#: 165013Dallas, TX 75201

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