DD
Daniel G. Dillard
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CRD#: 4289333
DD
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Daniel G Dillard, who also goes by Dan Dillard, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2000. Daniel had worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Dan Dillard
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: Founding Austin/ Founding Media
POSITION: Founder
NATURE OF BUSINESS: Corporation
INVESTMENT RELATED: No
NUMBER OF HOURS/MO: 30; SECURITIES TRADING HOURS:30
DATE: 08/15/2016
ADDRESS: 5323 Levander Loop, Austin, TX 78702
DESCRIPTION: This product is a Magazine, called Founding Austin. It is both an online magazine and a publication in print. The purpose
of the magazine is to interview local entrepreneurs and highlight their stories meant to educate and inspire other want to be
entrepreneurs.
2) NAME: Nest Financial LLC
NATURE OF BUSINESS: LLC
INVESTMENT RELARTED: Yes
ADDRESS: 5323 Levander Loop, Austin, TX 78702
POSITION: Owner
START DATE: 05/01/2013
NUMBER OF HRS/MO: 40; HRS/MO DURING TRADING HRS: 40
DESCRIPTION OF DUTIES: provide investment advisory services. This is an RIA that is registered with the State of Texas.
3) NAME: Dan G Dillard & Co
POSITION: founder
NATURE: S-Corp
INVESTMENT RELATED: No
NUMBER OF HOURS/MO: 100; SECURITIES TRADING HOURS: 100
START DATE: 10/01/2018; ADDRESS: 5323 Levandar Loop, Austin TX 78702, United States
DESCRIPTION: Fractional CMO - as a media and marketing expert, I work with companies that need marketing expertise.
4) NAME: Nest Financial
NATURE OF BUSINESS: Corporation (DBA of Dan G Dillard & Co)
INV. RELARTED: YES
ADDRESS: 5323 Levandar Loop, Austin TX 78702, United States
POSITION: OWNER
START DATE: 05/01/2013
NUMBER OF HRS/MO: 5; HRS/MO DURING TRADING HRS: 5
DESCRIPTION OF DUTIES: advise on insurance to clients.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
April 30, 2019 - July 15, 2019
UNION CAPITAL COMPANY
BD
CRD#: 110301
Austin, TX
Past
November 6, 2018 - January 29, 2024
NEST FINANCIAL LLC
RIA
CRD#: 299307
AUSTIN, TX
Past
May 3, 2013 - April 22, 2019
OSAIC SERVICES, INC.
RIA
CRD#: 133763
AUSTIN, TX
Past
May 1, 2013 - April 17, 2019
OSAIC SERVICES, INC.
BD
CRD#: 133763
AUSTIN, TX
Past
July 16, 2004 - May 8, 2013
LPL FINANCIAL LLC
RIA
CRD#: 6413
AUSTIN, TX
Past
July 16, 2004 - May 8, 2013
LPL FINANCIAL LLC
BD
CRD#: 6413
AUSTIN, TX
Past
May 3, 2002 - July 21, 2004
CUNA BROKERAGE SERVICES, INC.
RIA
CRD#: 13941
LEANDER, TX
Past
May 3, 2002 - July 21, 2004
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
WAVERLY, IA
Past
December 6, 2000 - April 3, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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".
UC
UNION CAPITAL COMPANY
INVERSIONISTA ONLINE, INC. | UNION CAPITAL COMPANY | INVERSIONISTA ONLINE.COM, INC.
CRD#: 110301 / SEC#: 801-121320, 8-53127
RIA
Registered Investment Advisory firm - SEC (5/26/2021 Approved)Arizona
Registered Investment Advisory firm - SEC (5/28/2021 Terminated)California
Registered Investment Advisory firm - SEC (6/27/2021 Terminated)Florida
Registered Investment Advisory firm - SEC (5/28/2021 Terminated)Idaho
Registered Investment Advisory firm - SEC (5/28/2021 Terminated)Illinois
Registered Investment Advisory firm - SEC (5/28/2021 Terminated)Indiana
Registered Investment Advisory firm - SEC (6/1/2021 Terminated)Minnesota
Registered Investment Advisory firm - SEC (6/1/2021 Terminated)New Mexico
Registered Investment Advisory firm - SEC (5/28/2021 Terminated)Ohio
Registered Investment Advisory firm - SEC (5/30/2021 Terminated)Oregon
Registered Investment Advisory firm - SEC (12/31/2009 Terminated)Texas
Registered Investment Advisory firm - SEC (5/28/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
UC
UNION CAPITAL COMPANY
INVERSIONISTA ONLINE, INC. | UNION CAPITAL COMPANY | INVERSIONISTA ONLINE.COM, INC.
CRD#: 110301 / SEC#: 801-121320, 8-53127
RIA
Registered Investment Advisory firm - SEC (5/26/2021 Approved)Arizona
Registered Investment Advisory firm - SEC (5/28/2021 Terminated)California
Registered Investment Advisory firm - SEC (6/27/2021 Terminated)Florida
Registered Investment Advisory firm - SEC (5/28/2021 Terminated)Idaho
Registered Investment Advisory firm - SEC (5/28/2021 Terminated)Illinois
Registered Investment Advisory firm - SEC (5/28/2021 Terminated)Indiana
Registered Investment Advisory firm - SEC (6/1/2021 Terminated)Minnesota
Registered Investment Advisory firm - SEC (6/1/2021 Terminated)New Mexico
Registered Investment Advisory firm - SEC (5/28/2021 Terminated)Ohio
Registered Investment Advisory firm - SEC (5/30/2021 Terminated)Oregon
Registered Investment Advisory firm - SEC (12/31/2009 Terminated)Texas
Registered Investment Advisory firm - SEC (5/28/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
6083 E. Grant Road, Tucson, AZ 85712
Mailing Address
6083 E. Grant Road, Tucson, AZ 85712
Phone number
(520) 664-2001
Established
Arizona since 12/30/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
17
SEC notice filing (16 States and Territories)
FINRA licenses (43 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 517 |
| AUM (Assets Under Management) | $ 177,000,000 |
Disclosures
| Regulatory Event | 2 |
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.
