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DB

Dave A. Boothe

FALCON WEALTH PLANNING
ONTARIO, CA 91764
Some features on this profile are disabled
CRD#: 6878961
DB

Professional summary

Dave Anthony Boothe Jr., CFP®, who also goes by Dave Anthony Boothe Jr, Dave Anthony Boothe, Dave Boothe, is a registered financial advisor currently at FALCON WEALTH PLANNING, INC. located in Ontario, California.

Dave is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Dave has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Dave Anthony Boothe Jr | Dave Anthony Boothe | Dave Boothe

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 Dave Anthony Boothe Jr.'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®
CFP®

Certified Financial Planner

Start date: 2020

Experience

Current

May 11, 2026 - Present

FALCON WEALTH PLANNING, INC.

Office #1: 3400 Inland Empire Blvd. Suite 100, Ontario, CA 91764
RIA
CRD#: 174092
ONTARIO, CA
Past

December 21, 2022 - April 23, 2026

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA
CRD#: 20472
LAS VEGAS, NV
Past

December 16, 2022 - April 23, 2026

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

BD
CRD#: 20472
LAS VEGAS, NV
Past

December 20, 2019 - November 18, 2022

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
Henderson, NV
Past

December 12, 2019 - November 18, 2022

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
Henderson, NV
Past

September 11, 2018 - November 21, 2019

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
Las Vegas, NV
Past

June 28, 2018 - November 21, 2019

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
Las Vegas, NV

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".
FALCON WEALTH PLANNING, INC.
FALCON WEALTH PLANNING, INC.
FALCON WEALTH PLANNING, INC.

CRD#: 174092 / SEC#: 801-112659

RIA
Registered Investment Advisory firm - (3/19/2018 Approved)
California
Registered Investment Advisory firm - (5/5/2018 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.

Highlighted states indicate IAR registrations

IAR
California
(5/11/2026)
IAR
Texas
(5/11/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/1/2018
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/28/2018
General Securities Representative Examination

Current Firm

FALCON WEALTH PLANNING, INC.
FALCON WEALTH PLANNING, INC.
FALCON WEALTH PLANNING, INC.

CRD#: 174092 / SEC#: 801-112659

RIA
Registered Investment Advisory firm - (3/19/2018 Approved)
California
Registered Investment Advisory firm - (5/5/2018 Terminated)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
3400 Inland Empire Blvd. Suite 100, Ontario, CA 91764
Mailing Address
Phone number
(855) 963-2526
Established
Firm type
Fiscal year end
# of Employees
40

SEC notice filing (31 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2A-FALCON WEALTH PLANNING, INC. (2/18/2026)

Regulatory assets under management

Total Number of Accounts5,242
AUM (Assets Under Management)$ 1,552,684,912

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.

Company Information

FALCON WEALTH PLANNING, INC.

FALCON WEALTH PLANNING, INC.

CRD#: 174092Ontario, CA 91764

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