DH
David P. Heroux
WEALTHSPIRE RETIREMENT ADVISORY
New Smyrna Beach, FL 32169
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CRD#: 4746171
DH
Professional summary
David Paul Heroux is a registered financial advisor currently at WEALTHSPIRE RETIREMENT ADVISORY located in New Smyrna Beach, Florida and KESTRA INVESTMENT SERVICES, LLC located in Aliso Viejo, California.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. David has worked at 8 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
Business Name: NFP Investment Related: No Address: 120 Vantis Suite 400 Aliso Viejo CA 91361 Nature of Business: Other TPA Position, Title or Relationship: director, general day to day management of the business, sales and client contact. I do not do administration work Start Date: 3/1/2009 Hours per month: 11% - 20% (17 - 32 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: manage employees, direct sales efforts, interface with clients, manage profit and loss of the businessBusiness Name: NFP Retirement Investment Related: Yes Address: 31416 Agoura Road, Suite 235 Westlake Village CA 91361 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Investment Advisory services through an independent outside RIA Position, Title or Relationship: Managing Director Start Date: 5/12/2015 Hours per month: 61% - 70% (97 - 112 hours) Hours per month during trading hours: 61% - 70% (85 - 98 hours) Duties: sales and service, portfilo design and management, financial planning, retirement readiness evaluationsBusiness Name: David Heroux Investment Related: Yes Address: 31416 Agoura Road, Suite 235 Westlake Village CA 91361 Nature of Business: Insurance Position, Title or Relationship: Sales Start Date: 6/16/2015 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: identify and help close sales, use other NFP resources as requiredBusiness Name: Boys and Girls club of Greater Conejo Valley Investment Related: No Address: 30343 Canwood Street Suite 200 Agoura Hills CA 91301 Nature of Business: Board Position (Board of Directors, Board of Trustees, etc.) Position, Title or Relationship: board member Start Date: 3/14/2016 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: fund raising obligations, attend 75% of board and committee meetingsBusiness Name: F Strat Holdings, Inc. Investment Related: No Address: 488 Oakhampton Street Thousand Oaks, CA CA 91361 Nature of Business: Other Other/None of the Above This entity is being formed to hold private investments Position, Title or Relationship: Owner Start Date: 7/1/2017 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Plan to use this entity for personal investments
CRS (Client Relationship Summary) - RIA
Click below to view David Paul Heroux'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®
NoneExperience
Current
June 4, 2015 - Present
WEALTHSPIRE RETIREMENT ADVISORY
Office #1: 1606 Saxon Drive, New Smyrna Beach, FL 32169RIA
CRD#: 121254
New Smyrna Beach, FL
Current
May 27, 2015 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 120 Vantis Suite 400, Aliso Viejo, CA 92656BD
CRD#: 42046
Aliso Viejo, CA
Past
May 27, 2015 - June 4, 2015
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
Woodland Hills, CA
Past
March 14, 2014 - June 10, 2015
INDEPENDENT FINANCIAL PARTNERS
RIA
CRD#: 125112
SANTA ANA, CA
Past
May 16, 2013 - May 21, 2015
LPL FINANCIAL LLC
RIA
CRD#: 6413
SANTA ANA, CA
Past
May 16, 2013 - May 21, 2015
LPL FINANCIAL LLC
BD
CRD#: 6413
SANTA ANA, CA
Past
December 1, 2006 - May 29, 2013
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
SANTA ANA, CA
Past
July 13, 2006 - May 29, 2013
QUESTAR ASSET MANAGEMENT, INC.
RIA
CRD#: 133358
SIMI VALLEY, CA
Past
May 14, 2004 - June 16, 2006
USALLIANZ SECURITIES, INC.
RIA
CRD#: 40875
SIMI VALLEY, CA
Past
May 14, 2004 - December 1, 2006
USALLIANZ SECURITIES, INC.
BD
CRD#: 40875
SIMI VALLEY, CA
Past
January 20, 2004 - May 13, 2004
WESTMINSTER FINANCIAL SECURITIES, INC.
BD
CRD#: 20677
BEAVERCREEK, OH
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".
WR
WEALTHSPIRE RETIREMENT ADVISORY
401 (K) ADVISORS | WEALTHSPIRE RETIREMENT, LLC | WEALTHSPIRE RETIREMENT ADVISORY | SST BENEFITS AND CONSULTING SERVICES LLC | NFP RETIREMENT INC. | NFP RETIREMENT | FIDUCIARYPATH | FIDUCIARY FIRST, LLC | ACCELERATE RETIREMENT | 403(B) ADVISORS | 401(K) INVESTMENT ADVISORS, INC. | 401(K) ADVISORS, INC. | 401(K) ADVISORS INC. | 401 (K) ADVISORS, INC.
CRD#: 121254 / SEC#: 801-66107
RIA
Registered Investment Advisory firm - (1/31/2006 Approved)California
Registered Investment Advisory firm - (2/9/2006 Terminated)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
RR
Arizona(10/8/2020)
RR
California(5/27/2015)
IAR
California(6/4/2015)
RR
Colorado(5/27/2015)
RR
Florida(9/5/2019)
IAR
Florida(11/7/2023)
RR
Georgia(6/2/2022)
RR
Illinois(5/4/2016)
RR
Massachusetts(1/18/2019)
RR
Nevada(5/27/2015)
RR
New York(8/17/2016)
IAR
New York(11/15/2023)
RR
Texas(5/27/2015)
RR
Washington(5/27/2015)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
WR
WEALTHSPIRE RETIREMENT ADVISORY
401 (K) ADVISORS | WEALTHSPIRE RETIREMENT, LLC | WEALTHSPIRE RETIREMENT ADVISORY | SST BENEFITS AND CONSULTING SERVICES LLC | NFP RETIREMENT INC. | NFP RETIREMENT | FIDUCIARYPATH | FIDUCIARY FIRST, LLC | ACCELERATE RETIREMENT | 403(B) ADVISORS | 401(K) INVESTMENT ADVISORS, INC. | 401(K) ADVISORS, INC. | 401(K) ADVISORS INC. | 401 (K) ADVISORS, INC.
CRD#: 121254 / SEC#: 801-66107
RIA
Registered Investment Advisory firm - (1/31/2006 Approved)California
Registered Investment Advisory firm - (2/9/2006 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
120 Vantis Suite 400, Aliso Viejo, CA 92656
Mailing Address
Phone number
(949) 460-9898
Established
Firm type
Fiscal year end
# of Employees
240
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 9,394 |
| AUM (Assets Under Management) | $ 118,031,461,765 |
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.
