Daniel E. Malone
KESTRA ADVISORY SERVICES
Richardson, TX 75080
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CRD#: 6649149
Professional summary
Daniel Emmett Malone, CFP® is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Richardson, Texas and KESTRA INVESTMENT SERVICES, LLC located in Richardson, Texas.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Daniel has worked at 3 firms and has passed the Series 66, SIE and Series 7 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.
Bus Name: Westbrooks Dugger & Westbrooks Financial WDW Financial Investment Related: Yes Address: 2600 N central expressway, suite 575 Richardson TX 75080 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Financial Advisor Start Date: 6/1/2016 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Financial Advisor Bus Name: Kestra Advisory Services, LLC Investment Related: No Address: 5707 Southwest Parkway, Building 2, Suite 400 Austin TX 78735 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Financial Advisor Start Date: 10/18/2018 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Financial Advisor Bus Name: WDW TAX SERVICES POSITION: President NATURE: Tax/Accounting/CPA INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 02/20/2025 ADDRESS: 2600 N CENTRAL EXPY, STE 575, RICHARDSON TX 75080, United States DESCRIPTION: As President of WDW Financial, I will also be responsible for managing and overseeing WDW Tax Services, ensuring alignment with our firm's overall objectives.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Emmett Malone'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®
CFP®
Start date: 2018
Experience
Current
October 18, 2018 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 2600 N Central Expressway Suite 625, Richardson, TX 75080RIA
CRD#: 283330
Richardson, TX
Current
October 18, 2018 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 2600 N. Central Expressway #750, Richardson, TX 75080BD
CRD#: 42046
Richardson, TX
Past
January 24, 2017 - October 18, 2018
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
RICHARDSON, TX
Past
October 25, 2016 - October 18, 2018
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
RICHARDSON, TX
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)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
Alabama(4/26/2022)
RR
Arizona(4/26/2022)
RR
Arkansas(4/26/2022)
RR
California(4/26/2022)
RR
Colorado(4/26/2022)
RR
Florida(4/26/2022)
RR
Georgia(4/26/2022)
RR
Idaho(4/23/2024)
RR
Indiana(2/20/2024)
RR
Iowa(6/27/2022)
RR
Kansas(4/26/2022)
RR
Louisiana(4/26/2022)
RR
Massachusetts(4/26/2022)
RR
Minnesota(3/6/2025)
RR
Mississippi(4/26/2022)
RR
Missouri(4/26/2022)
RR
Nevada(4/26/2022)
RR
New Hampshire(4/26/2022)
RR
New Mexico(4/27/2022)
RR
North Carolina(3/26/2024)
RR
Ohio(2/20/2025)
RR
Oklahoma(4/26/2022)
RR
Oregon(5/2/2022)
RR
Pennsylvania(4/26/2022)
RR
South Carolina(5/23/2022)
RR
Tennessee(4/29/2022)
RR
Texas(10/18/2018)
IAR
Texas(10/18/2018)
RR
Virginia(4/26/2022)
RR
Washington(4/26/2022)
RR
Wisconsin(4/26/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330Richardson, TX 75080TRUST BUT VERIFY
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