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Deepak Goyal

3D HOLISTIC WEALTH
Irvine, CA
·CRD# 7349139·9 years experience

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.

At a Glance

Always Fiduciary

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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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

9 years in the financial services industry

Current & Past Employments

3D HOLISTIC WEALTH·CRD# 331809
RIA
1. 9870 Research Dr, Irvine, CA 92618-43102. Irvine, CA
September 27, 2024 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.·CRD# 134139
RIA
Irvine, CA
December 1, 2021 - April 29, 2025
CAMBRIDGE INVESTMENT RESEARCH, INC.·CRD# 39543
BD
Irvine, CA
December 1, 2021 - April 29, 2025
TRANSAMERICA FINANCIAL ADVISORS, LLC·CRD# 16164
BD
Corona, CA
April 13, 2021 - December 3, 2021
TRANSAMERICA FINANCIAL ADVISORS, LLC·CRD# 16164
RIA
Corona, CA
March 9, 2021 - December 3, 2021

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Current Firm

3H
3D HOLISTIC WEALTH

3D HOLISTIC WEALTH | 3DHWEALTH LLC

CRD#: 331809
California
Registered Investment Advisory firm - California (9/27/2024 Approved)

Contact Information

Main Address

Irvine, CA

Phone Number

(949) 997-1101

# of Employees

1

Documents

Latest Form ADV

Regulatory Assets Under Management

Total Number of Accounts

35

AUM (Assets Under Management)

$4,776,607

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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.

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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.
IAR
California
(9/27/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

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

Series 63 — Uniform Securities Agent State Law Examination

Passed Feb 2021About the Series 63 exam

Series 65 — Uniform Investment Adviser Law Examination

Passed Jan 2021About the Series 65 exam

Series 7TO — General Securities Representative Examination

Passed Jan 2022About the Series 7TO exam

Series 22TO — Direct Participation Programs Representative Examination

Passed Dec 2021About the Series 22TO exam

Series 6TO — Investment Company Products/Variable Contracts Representative Examination

Passed Apr 2021About the Series 6TO exam

SIE — Securities Industry Essentials Examination

Passed Jan 2021About the SIE exam

Series 3 — National Commodity Futures Examination

Passed Jul 2017About the Series 3 exam

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CRS (Client Relationship Summary) - RIA

Click below to view Deepak Goyal's CRS (Customer Relationship Summary).

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