Etan Ayen
Professional Summary
Etan Ayen, who also goes by Thane Andrew, Thane Andrew Mansfield, Charles Andrew Tubb, was a registered financial advisor. Etan was a previously registered financial professional and started their career in finance 2018 - 2025. Etan had worked at 3 firms and has passed the Series 63, Series 82TO, Series 6TO, Series 22TO, Series 99TO, Series 3, Series 7TO, SIE and Series 4 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Thane Andrew, Thane Andrew Mansfield, Charles Andrew Tubb
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
8 years in the financial services industry
Current & Past Employments
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Current Firm
AQUAS FINANCIAL, LLC | DLP SECURITIES,.LLC | DLP SECURITIES, LLC | DLP SECURITIES LLC
Contact Information
Main Address
5905 Legacy Drive A500, Plano, TX 75024-4118Mailing Address
5905 Legacy Drive A500, Plano, TX 75024-4118Phone Number
(972) 907-8700Established
Texas since 08/25/2020Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (1 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAIN STREET TRUST | SHAREHOLDER | — |
| WAYNE WURTSBAUGH 2018 FAMILY DYNASTY TRUST | SHAREHOLDER | — |
| ALSEDEK, STEVEN MICHAEL | CHIEF FINANCIAL OFFICER (CFO), FINANCIAL AND OPERATIONS PRINCIPAL (FINOP), PRINCIPAL FINANCIAL OFFICER (PFO) | 2520569 |
| ALSEDEK, STEVEN MICHAEL | CHIEF COMPLIANCE OFFICER (CCO), CHIEF RISK OFFICER (CRO), ANTI-MONEY LAUNDERING OFFICER (AMLO) | 2520569 |
| ALSEDEK, STEVEN MICHAEL | COO, POO | 2520569 |
| JANOWSKI, JEFF | HEAD OF ELECTRONIC TRADING / MARGIN PRINCIPAL / REGISTERED OPTIONS PRINCIPAL / MUNICIPAL SECURITIES PRINCIPAL | 5703929 |
| WURTSBAUGH, WAYNE ALAN | TRUSTEE / CHIEF EXECUTIVE OFFICER | 2629833 |
| WURTSBAUGH, WAYNE ALAN | CHIEF TECHNOLOGY OFFICER | 2629833 |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 82TO — Limited Representative-Private Securities Offerings
Passed Nov 2024About the Series 82TO examSeries 6TO — Investment Company Products/Variable Contracts Representative Examination
Passed Nov 2024About the Series 6TO examSeries 22TO — Direct Participation Programs Representative Examination
Passed Nov 2024About the Series 22TO examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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