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DD

David A. Dodson

HAMPTON ROCK WEALTH MANAGEMENT
AUSTIN, TX 78735
Some features on this profile are disabled
CRD#: 3167369
DD

Professional summary

David Alan Dodson, CFP®, who also goes by David Dodson, David A Dodson, is a registered financial advisor currently at HAMPTON ROCK WEALTH MANAGEMENT located in Austin, Texas.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. David has worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6, Series 10 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

David Dodson | David A Dodson

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 David Alan Dodson'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: 2002

Experience

Current

July 31, 2024 - Present

HAMPTON ROCK WEALTH MANAGEMENT

Office #1: 7500 Rialto Boulevard Building 1, Suite 122, Austin, TX 78735
RIA
CRD#: 331682
AUSTIN, TX
Past

September 28, 2018 - August 2, 2024

OPPENHEIMER & CO. INC.

RIA
CRD#: 249
AUSTIN, TX
Past

September 28, 2018 - August 2, 2024

OPPENHEIMER & CO. INC.

BD
CRD#: 249
AUSTIN, TX
Past

January 2, 2018 - September 28, 2018

BB&T SECURITIES, LLC

RIA
CRD#: 142785
AUSTIN, TX
Past

January 2, 2018 - September 28, 2018

BB&T SECURITIES, LLC

BD
CRD#: 142785
AUSTIN, TX
Past

July 8, 2016 - January 2, 2018

BB&T INVESTMENT SERVICES, INC.

BD
CRD#: 33856
AUSTIN, TX
Past

June 24, 2016 - January 2, 2018

BB&T INVESTMENT SERVICES, INC.

RIA
CRD#: 33856
AUSTIN, TX
Past

April 20, 2010 - June 3, 2016

SALEM PARTNERS WEALTH MANAGEMENT, LLC

RIA
CRD#: 131359
LOS ANGELES, CA
Past

April 5, 2002 - December 4, 2006

ESSENTIAL ADVISERS, INC.

RIA
CRD#: 115998
DENVER, CO
Past

December 19, 2001 - January 22, 2002

SUNAMERICA SECURITIES, INC.

BD
CRD#: 20068
PHOENIX, AZ
Past

January 12, 2001 - April 3, 2001

AMERIPRISE ADVISOR SERVICES, INC.

BD
CRD#: 5979
DETROIT, MI
Past

January 5, 1999 - September 10, 1999

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039
NEW YORK, NY
Past

January 5, 1999 - September 10, 1999

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".
HR
HAMPTON ROCK WEALTH MANAGEMENT
HAMPTON ROCK WEALTH MANAGEMENT | HAMPTONROCK WEALTH MANAGEMENT | HAMPTONROCK WEALTH | HAMPTON ROCK WEALTH MANAGEMENT I, LLC

CRD#: 331682 / SEC#: 801-130575

RIA
Registered Investment Advisory firm - (7/11/2024 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
Colorado
(9/9/2024)
IAR
Texas
(7/31/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/1/2016
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 6/11/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/5/1999
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: 7/8/2016
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/4/1999
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/21/2016
General Securities Principal Examination

Current Firm

HR
HAMPTON ROCK WEALTH MANAGEMENT
HAMPTON ROCK WEALTH MANAGEMENT | HAMPTONROCK WEALTH MANAGEMENT | HAMPTONROCK WEALTH | HAMPTON ROCK WEALTH MANAGEMENT I, LLC

CRD#: 331682 / SEC#: 801-130575

RIA
Registered Investment Advisory firm - (7/11/2024 Approved)
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Contact information

Main Address
7500 Rialto Boulevard Building 1, Suite 122, Austin, TX 78735
Mailing Address
Phone number
(512) 256-9272
Established
Firm type
Fiscal year end
# of Employees
5

SEC notice filing (2 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

HAMPTON ROCK PART 2A (5/15/2025)

Regulatory assets under management

Total Number of Accounts123
AUM (Assets Under Management)$ 142,138,531

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

HAMPTON ROCK WEALTH MANAGEMENT

CRD#: 331682Austin, TX 78735

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