Daniel F. Tafoya

Some features on this profile are disabled

CRD#: 5456641

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 Fallon Tafoya, CFP®, who also goes by Daniel Fallon Tafoya, was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 2008. Daniel had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Daniel Fallon Tafoya

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)

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®

CFP^®

Certified Financial Planner

Experience

Past

July 27, 2023 - October 21, 2025

CONFIDENCE WEALTH MANAGEMENT, INC.

RIA

CRD#: 127383

Colorado Springs, CO

Past

November 2, 2017 - July 28, 2023

T. ROWE PRICE ADVISORY SERVICES, INC.

RIA

CRD#: 108958

Colorado Springs, CO

Past

November 2, 2017 - July 28, 2023

T. ROWE PRICE INVESTMENT SERVICES, INC.

CRD#: 8348

COLORADO SPRINGS, CO

Past

March 30, 2011 - September 29, 2017

USAA FINANCIAL PLANNING SERVICES

RIA

CRD#: 106352

COLORADO SPRINGS, CO

Past

September 15, 2010 - September 29, 2017

USAA FINANCIAL ADVISORS, INC.

CRD#: 129035

COLORADO SPRINGS, CO

Past

October 29, 2009 - September 10, 2010

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SCOTTSDALE, AZ

Past

May 29, 2008 - September 1, 2009

CHARLES SCHWAB & CO., INC.

CRD#: 5393

PHOENIX, AZ

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".

CONFIDENCE WEALTH MANAGEMENT, INC.

CRD#: 127383 / SEC#: 801-122368

RIA

Registered Investment Advisory firm - (9/27/2021 Approved)

California

Registered Investment Advisory firm - (1/16/2022 Terminated)

Nevada

Registered Investment Advisory firm - (1/17/2022 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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/11/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/30/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/28/2008

General Securities Representative Examination

Current Firm

CONFIDENCE WEALTH MANAGEMENT, INC.

CRD#: 127383 / SEC#: 801-122368

RIA

Registered Investment Advisory firm - (9/27/2021 Approved)

California

Registered Investment Advisory firm - (1/16/2022 Terminated)

Nevada

Registered Investment Advisory firm - (1/17/2022 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

10940 Wilshire Blvd Suite 600, Los Angeles, CA 90024

Mailing Address

Phone number

(310) 824-1000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

04 2025 CWM FORM ADV PART 2A FINAL (4/21/2025)

Regulatory assets under management

Total Number of Accounts	1,843
AUM (Assets Under Management)	$ 344,241,463

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Daniel F. Tafoya

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

T. ROWE PRICE ADVISORY SERVICES, INC.

T. ROWE PRICE INVESTMENT SERVICES, INC.

USAA FINANCIAL PLANNING SERVICES

USAA FINANCIAL ADVISORS, INC.

WELLS FARGO INVESTMENTS, LLC

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

CONFIDENCE WEALTH MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/11/2011

Series 63

Date: 5/30/2008

SIE

Date: 10/1/2018

Series 7

Date: 5/28/2008

Current Firm

CONFIDENCE WEALTH MANAGEMENT, INC.

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CONFIDENCE WEALTH MANAGEMENT, INC.

TRUST BUT VERIFY

Similar Advisors