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EA

Etan Ayen

AQUAS FINANCIAL
Plano, TX 75024-4118
Some features on this profile are disabled
CRD#: 7004994
EA

Professional summary

Etan Ayen, who also goes by Thane Andrew, Thane Andrew Mansfield, Charles Andrew Tubb, is a registered financial professional currently at AQUAS FINANCIAL, LLC located in Plano, Texas.

Etan is registered as a RR (Registered Representative) and started their career in finance in 2018. Etan has 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.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Thane Andrew | Thane Andrew Mansfield | Charles Andrew Tubb

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) - BD

Click below to view Etan Ayen'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

May 16, 2024 - Present

AQUAS FINANCIAL, LLC

Office #1: 5905 Legacy Drive A500, Plano, TX 75024-4118
BD
CRD#: 311274
Plano, TX
Past

January 23, 2023 - August 29, 2023

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
Westlake, TX
Past

November 8, 2018 - August 29, 2023

TD AMERITRADE, INC.

BD
CRD#: 7870
Westlake, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Texas
(5/16/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 11/19/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 82TO
Date: 11/20/2024
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
Series 6TO
Date: 11/20/2024
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 22TO
Date: 11/20/2024
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 11/20/2024
Operations Professional Examination
General Industry/Product Exam
RR
Series 3
Date: 7/18/2023
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7TO
Date: 11/8/2018
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/8/2018
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 4
Date: 12/8/2022
Registered Options Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AF
AQUAS FINANCIAL, LLC
AQUAS FINANCIAL, LLC | DLP SECURITIES,.LLC | DLP SECURITIES, LLC | DLP SECURITIES LLC

CRD#: 311274 / SEC#: , 8-70610

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
5905 Legacy Drive A500, Plano, TX 75024-4118
Mailing Address
5905 Legacy Drive A500, Plano, TX 75024-4118
Phone number
(972) 907-8700
Established
Texas since 08/25/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MAIN STREET TRUSTSHAREHOLDER
WAYNE WURTSBAUGH 2018 FAMILY DYNASTY TRUSTSHAREHOLDER
ALSEDEK, STEVEN MICHAELCHIEF COMPLIANCE OFFICER (CCO), CHIEF RISK OFFICER (CRO), ANTI-MONEY LAUNDERING OFFICER (AMLO)2520569
ALSEDEK, STEVEN MICHAELCOO, POO2520569
ALSEDEK, STEVEN MICHAELCHIEF FINANCIAL OFFICER (CFO), FINANCIAL AND OPERATIONS PRINCIPAL (FINOP), PRINCIPAL FINANCIAL OFFICER (PFO)2520569
JANOWSKI, JEFFHEAD OF ELECTRONIC TRADING / MARGIN PRINCIPAL / REGISTERED OPTIONS PRINCIPAL / MUNICIPAL SECURITIES PRINCIPAL5703929
WURTSBAUGH, WAYNE ALANCHIEF TECHNOLOGY OFFICER2629833
WURTSBAUGH, WAYNE ALANTRUSTEE / CHIEF EXECUTIVE OFFICER2629833

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

AQUAS FINANCIAL, LLC

CRD#: 311274Plano, TX 75024-4118

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