David P. Heroux

WEALTHSPIRE RETIREMENT ADVISORY

New Smyrna Beach, FL 32169

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CRD#: 4746171

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Paul Heroux'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®

None

Experience

Current

June 4, 2015 - Present

WEALTHSPIRE RETIREMENT ADVISORY

Office #1: 1606 Saxon Drive, New Smyrna Beach, FL 32169

RIA

CRD#: 121254

New Smyrna Beach, FL

Current

May 27, 2015 - Present

KESTRA INVESTMENT SERVICES, LLC

Office #1: 120 Vantis Suite 400, Aliso Viejo, CA 92656

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

CRD#: 6413

SANTA ANA, CA

Past

December 1, 2006 - May 29, 2013

QUESTAR CAPITAL CORPORATION

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.

CRD#: 40875

SIMI VALLEY, CA

Past

January 20, 2004 - May 13, 2004

WESTMINSTER FINANCIAL SECURITIES, INC.

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".

WEALTHSPIRE RETIREMENT ADVISORY

CRD#: 121254 / SEC#: 801-66107

RIA

Registered Investment Advisory firm - (1/31/2006 Approved)

California

Registered Investment Advisory firm - (2/9/2006 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Arizona
(10/8/2020)

California
(5/27/2015)

IAR

California
(6/4/2015)

Colorado
(5/27/2015)

Florida
(9/5/2019)

IAR

Florida
(11/7/2023)

Georgia
(6/2/2022)

Illinois
(5/4/2016)

Massachusetts
(1/18/2019)

Nevada
(5/27/2015)

New York
(8/17/2016)

IAR

New York
(11/15/2023)

Texas
(5/27/2015)

Washington
(5/27/2015)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/20/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/15/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/7/2005

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

WEALTHSPIRE RETIREMENT ADVISORY

CRD#: 121254 / SEC#: 801-66107

RIA

Registered Investment Advisory firm - (1/31/2006 Approved)

California

Registered Investment Advisory firm - (2/9/2006 Terminated)

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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

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NFP RETIREMENT (12/23/2025)

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.

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Advisor Monitoring

Firm Stability Insights

David P. Heroux

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Paul Heroux's CRS (Customer Relationship Summary).

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

INDEPENDENT FINANCIAL PARTNERS

LPL FINANCIAL LLC

LPL FINANCIAL LLC

QUESTAR CAPITAL CORPORATION

QUESTAR ASSET MANAGEMENT, INC.

USALLIANZ SECURITIES, INC.

USALLIANZ SECURITIES, INC.

WESTMINSTER FINANCIAL SECURITIES, INC.

Primary Firm SEC Registration

WEALTHSPIRE RETIREMENT ADVISORY

State Registrations and Notice Filings

Exams

Series 66

Date: 1/20/2004

SIE

Date: 10/1/2018

Series 7

Date: 1/15/2004

Series 24

Date: 9/7/2005

FINRA

Current Firm

WEALTHSPIRE RETIREMENT ADVISORY

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WEALTHSPIRE RETIREMENT ADVISORY

TRUST BUT VERIFY

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