DG
Deepak Goyal
3D HOLISTIC WEALTH
Irvine, CA 92618-4310
Some features on this profile are disabled
CRD#: 7349139
DG
Professional summary
Deepak Goyal is a registered financial advisor currently at 3D HOLISTIC WEALTH located in Irvine, California.
Deepak is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Deepak has worked at 4 firms and has passed the Series 63, Series 65, Series 7TO, Series 22TO, Series 6TO, SIE and Series 3 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.
Deepak Goyal is currently employed as a Sr. Solutions Consultant at Dassault Systemes. This activity accounts for approximately 50% of their time during trading hours. Clients of 3dh are not involved in, nor are they solicited to participate in this outside business activity. Deepak is a Manager of Fufu & Tommy LLC, this activity accounts for approximately ten hours per month, two of which occur during trading hours. Deepak is Manager of AGDG Investments LLC. This activity accounts for approximately four hours per month of his time, two of which occur during trading hours. Deepak Goyal is currently an independent insurance agent. While he no longer sells commission-based insurance products, he may offer fee-based advisory annuities or other fee-based insurance solutions when appropriate for a client's needs. This activity accounts for less than 5% of his time. This creates a potential conflict of interest, as Deepak may receive compensation related to the insurance recommendations. However, as a fiduciary, he is obligated to act solely in the best interest of each client. Clients are under no obligation to act upon any insurance-related recommendation, and if they choose to do so, they are free to use any insurance agent or provider of their choosing.
CRS (Client Relationship Summary) - RIA
Click below to view Deepak Goyal'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®
NoneExperience
Current
September 27, 2024 - Present
3D HOLISTIC WEALTH
Office #1: 9870 Research Dr, Irvine, CA 92618-4310RIA
CRD#: 331809
Irvine, CA
Past
December 1, 2021 - April 29, 2025
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Irvine, CA
Past
December 1, 2021 - April 29, 2025
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Irvine, CA
Past
April 13, 2021 - December 3, 2021
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
CORONA, CA
Past
March 9, 2021 - December 3, 2021
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
CORONA, CA
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(9/27/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/29/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 22TO
Date: 12/27/2021
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 4/13/2021
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Current Firm
3H
3D HOLISTIC WEALTH
3D HOLISTIC WEALTH | 3DHWEALTH LLC
CRD#: 331809 / SEC#:
California
Registered Investment Advisory firm - (9/27/2024 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
Irvine, CA
Mailing Address
Phone number
(949) 997-1101
Established
Firm type
Fiscal year end
# of Employees
1
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 352,457 |
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.
