DH
Dean A. Harvey
WESTPARK WEALTH ADVISORS
Houston, TX
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CRD#: 3076399
DH
Professional summary
Dean Alan Harvey, CFP®, who also goes by Dean A Harvey, is a registered financial advisor currently at WESTPARK WEALTH ADVISORS, INC. located in Houston, Texas and CALTON & ASSOCIATES, INC. located in Houston, Texas.
Dean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Dean has worked at 5 firms and has passed the Series 66, Series 79TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dean A Harvey
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) Name of Business: Lydia Patterson Institute. Non-Investment related. Address: 517 S. Florence St., El Paso, TX 79901. Nature of Business: Private Methodist School. Position/Title/Relationship: Trustee. Hours per month: 0. Hours per month during Securities trading hours: 0. Duties/Responsibilities: This is a private Methodist school located in El Paso Texas. I am a trustee on the Board and attend two board meetings per year. There are no financial products or services offered by the School. 2) Name of Business: Westpark Wealth Advisors, Inc. Investment related. Address: 13111 Westheimer Rd., Suite 475, Houston TX, 77077. Nature of Business: RIA. Position/Title/Relationship: IAR. Hours per month: 100. Hours per month during Securities trading hours: 100. Duties/Responsibilities: I am a Financial Advisor and I transact all of my advisory accounts through this RIA. I hold no operational position with the RIA. 3) Name of Business: Harvey Financial Strategies. Investment related. Address: 10205 Westheimer Rd., Suite 500, Houston TX, 77042. Nature of Business: DBA for the business name and email I use. Position/Title/Relationship: Owner. Start Date: 10/2000. Hours per month: 160. Hours per month during Securities trading hours: 100%. Duties/Responsibilities: I am a full service financial advisor with a CFP credential. I offer planning, insurance, securities, and asset advisory services. I do some minor stock/bond/mutual fund business along with some variable annuity and life insurance business. My tactical work is driven by the comprehensive financial plans created and updated for my clients. 4) Penn Mutual Life Insurance Company. Noninvestment Related. 600 Dresher Dr. Horsham PA, 19044. Nature of business: Direct fixed life insurance. Title: Independent, Non-employee License rep. Start Date: 01/01/2021. Hours Per Month: 20 Hours per Year. Duties: Financial Advisor. 5) HFS LLC. Non-Investment related. Lawyer's Aid Service, Inc. 505 W. 15th Street Austin TX, 78701. Nature of Business: Receiving Personal business fees and commission. Title: Member. Start Date: 05/17/2021. Hours per Month: 0. Duties: Managing Members.
CRS (Client Relationship Summary) - RIA
Click below to view Dean Alan Harvey's 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®
Experience
Current
May 12, 2004 - Present
WESTPARK WEALTH ADVISORS, INC.
RIA
CRD#: 130914
Houston, TX
Current
November 13, 2017 - Present
CALTON & ASSOCIATES, INC.
Office #1: 13111 Westheimer Road Suite 475, Houston, TX 77077RIA
BD
CRD#: 20999
Houston, TX
Past
December 17, 2001 - December 31, 2004
IMS SECURITIES, INC.
RIA
CRD#: 35567
BATON ROUGE, LA
Past
December 17, 2001 - November 9, 2017
IMS SECURITIES, INC.
BD
CRD#: 35567
HOUSTON, TX
Past
September 24, 1999 - December 18, 2001
WS GRIFFITH SECURITIES, INC.
BD
CRD#: 10410
HARTFORD, CT
Past
July 16, 1998 - October 11, 1999
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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".
WW
WESTPARK WEALTH ADVISORS, INC.
IMS FINANCIAL ADVISORS, INC. | WESTPARK WEALTH ADVISORS, INC. | WESTPARK WEALTH ADVISORS | WEST PARK WEALTH ADVISORS
CRD#: 130914 / SEC#: 801-63009
RIA
Registered Investment Advisory firm - (4/28/2004 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.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
IAR
Arizona(4/2/2014)
IAR
Colorado(5/16/2024)
IAR
Florida(11/21/2024)
IAR
Louisiana(7/24/2012)
RR
Louisiana(1/12/2018)
RR
Montana(1/12/2018)
RR
New York(4/25/2018)
IAR
South Carolina(8/7/2023)
IAR
Texas(5/12/2004)
RR
Texas(11/13/2017)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
WW
WESTPARK WEALTH ADVISORS, INC.
IMS FINANCIAL ADVISORS, INC. | WESTPARK WEALTH ADVISORS, INC. | WESTPARK WEALTH ADVISORS | WEST PARK WEALTH ADVISORS
CRD#: 130914 / SEC#: 801-63009
RIA
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Contact information
Main Address
13111 Westheimer Rd. Suite 475, Houston, TX 77077
Mailing Address
13111 Westheimer Rd. Suite 475, Houston, TX 77077
Phone number
(713) 266-2993
Established
Firm type
Fiscal year end
# of Employees
27
SEC notice filing (17 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 700 |
| AUM (Assets Under Management) | $ 229,314,510 |
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.
