Johnathan D Hampton
Professional Summary
Johnathan D Hampton is a registered financial advisor currently at AQUAS FINANCIAL, LLC located in Plano, Texas. Johnathan is registered as a RR (Registered Representative) and started their career in finance in 2003. Johnathan has worked at 5 firms and has passed the Series 63, Series 6TO, Series 22TO, Series 82TO, Series 99TO, SIE, Series 3, Series 7 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
23 years in the financial services industry
Current & Past Employments
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Current Firm
AQUAS FINANCIAL, LLC | DLP SECURITIES,.LLC | DLP SECURITIES, LLC | DLP SECURITIES LLC
Contact Information
Main Address
5905 Legacy Drive A500, Plano, TX 75024-4118Mailing Address
5905 Legacy Drive A500, Plano, TX 75024-4118Phone Number
(972) 907-8700Established
Texas since 08/25/2020Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (1 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAIN STREET TRUST | SHAREHOLDER | — |
| WAYNE WURTSBAUGH 2018 FAMILY DYNASTY TRUST | SHAREHOLDER | — |
| ALSEDEK, STEVEN MICHAEL | CHIEF FINANCIAL OFFICER (CFO), FINANCIAL AND OPERATIONS PRINCIPAL (FINOP), PRINCIPAL FINANCIAL OFFICER (PFO) | 2520569 |
| ALSEDEK, STEVEN MICHAEL | CHIEF COMPLIANCE OFFICER (CCO), CHIEF RISK OFFICER (CRO), ANTI-MONEY LAUNDERING OFFICER (AMLO) | 2520569 |
| ALSEDEK, STEVEN MICHAEL | COO, POO | 2520569 |
| JANOWSKI, JEFF | HEAD OF ELECTRONIC TRADING / MARGIN PRINCIPAL / REGISTERED OPTIONS PRINCIPAL / MUNICIPAL SECURITIES PRINCIPAL | 5703929 |
| WURTSBAUGH, WAYNE ALAN | TRUSTEE / CHIEF EXECUTIVE OFFICER | 2629833 |
| WURTSBAUGH, WAYNE ALAN | CHIEF TECHNOLOGY OFFICER | 2629833 |
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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.
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State Registrations and Notice Filings
(3/28/2025)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6TO — Investment Company Products/Variable Contracts Representative Examination
Passed Mar 2025About the Series 6TO examSeries 22TO — Direct Participation Programs Representative Examination
Passed Mar 2025About the Series 22TO examSeries 82TO — Limited Representative-Private Securities Offerings
Passed Mar 2025About the Series 82TO examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Sep 2003About the Series 6 examSRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Johnathan D Hampton's CRS (Customer Relationship Summary).
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