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Alesa Dean Downing

CRD# 7146846·Registered 2020 - 2024
Previously Registered: Being a previously registered professional could mean that Alesa 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.

Professional Summary

Alesa Dean Downing, who also goes by Alesa D Hampton, Alesa D Norton, was a registered financial advisor. Alesa was a previously registered financial professional and started their career in finance 2020 - 2024. Alesa had worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Alesa D Hampton, Alesa D Norton

Blog Corner

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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

7 years in the financial services industry

Current & Past Employments

AVANTAX ADVISORY SERVICES·CRD# 104556
RIA
Allen, TX
February 4, 2021 - October 24, 2024
AVANTAX INVESTMENT SERVICES, INC.·CRD# 13686
BD
Allen, TX
October 19, 2020 - October 24, 2024

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Current Firm

AA
AVANTAX ADVISORY SERVICES

1ST GLOBAL ADVISORY SERVICES | HD VEST ADVISORY SERVICES | H.D. VEST ADVISORY SERVICES, INC | AVANTAX WEALTH MANAGEMENT | AVANTAX ADVISORY SERVICES, INC. | AVANTAX ADVISORY SERVICES

CRD#: 104556 / SEC#: 801-29892

Contact Information

Main Address

3200 Olympus Blvd Suite 100, Dallas, TX 75019

Phone Number

(972) 870-6000

# of Employees

2,278

Documents

Latest Form ADV

Part 2 Brochures

FORM ADV 2A FIRM BROCHURE (3/31/2025)

Regulatory Assets Under Management

Total Number of Accounts

140,306

AUM (Assets Under Management)

$46,109,939,749

Accountant Surprise Examination Report

Filing DateForm ADV-E CoverForm ADV-E Report
12/13/2024Cover PageReport
11/28/2023Cover PageReport

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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.

1) Alesa D. Downing, CPA PLLC~1506 N. Greenville Ave. Suite 240~Allen~TX~75002~Accounting Services/Tax Preparation~Other~12/21/2012~160hrs~130hrs~Preparation of Individual Tax Returns Preparation of Business Tax Returns Review of Individual and Business Tax Returns Review of Small Business Books prepared by staff Management of CPA Firm 2) Fiduciary Appointment-Trustee~P.O. BOX 30592~Edmond~OK~73003~4/12/2012~0hrs~0hrs~Co-Trustee No duties required 3) FULL CIRCLE TAX & FINANCIAL SOLUTIONS LLC POSITION: Member NATURE: I set up Full Circle Tax & Financial Solutions LLC to run the financial part of by business, the Avantax piece. I haven't done any business yet, so I haven't officially used it, but I will I will still operate the tax and accounting part of my business through Alesa D. Downing, CPA PLC. INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 04/29/2021 ADDRESS: 1504 N Greenville Ave Suite 150, Allen TX 75002, United States DESCRIPTION: I an the sole owner and make all decisions. 4)ALESA D. DOWNING, CPA PLLC POSITION: Owner NATURE: Tax and accounting firm in Allen, TX INVESTMENT RELATED: No NUMBER OF HOURS: 170 SECURITIES TRADING HOURS: 130 START DATE: 12/28/2012 ADDRESS: 1504 N Greenville Ave Suite 150, Allen TX 75002, United States DESCRIPTION: Firm operations, tax preparation and review, meet with clients, sales and marketing, supervision of employees, training and education

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Jan 2021About the Series 66 exam

Series 7TO — General Securities Representative Examination

Passed Oct 2020About the Series 7TO exam

SIE — Securities Industry Essentials Examination

Passed Sep 2019About the SIE exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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