DN
Dean E. Norsworthy
DODDS WEALTH
GREENWOOD VILLAGE, CO 80111
Some features on this profile are disabled
CRD#: 7425000
DN
Professional summary
Dean Edward Norsworthy is a registered financial advisor currently at DODDS WEALTH, LLC located in Greenwood Village, Colorado and LPL FINANCIAL LLC located in Greenwood Village, Colorado.
Dean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Dean has worked at 3 firms and has passed the Series 63, Series 65, Series 7TO and SIE 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.
1) 11/2021- Dodds Wealth- DBA for LPL Business (entity for LPL business)- Inv. related- Greenwood Village, CO 2) 11/08/2022 - Dodds Wealth Management Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - IAR - Start Date - 10/03/2022 - 10 Hours Per Month/1 Hours During Securities Trading - I provide financial planning and consulting services through Dodds Wealth Management Group, an independent investment advisor firm.� I started this business activity in 10/20202.�I expect to spend approximately 10 hours per month on this activity.�Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD.�The advisory firm is separate from and independent of LPL Financial. 3) 01/05/2023 - Dodds Wealth, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 01/03/2023 - 12 Hours Per Month/1 Hour During Securities Trading. 4) 01/19/2023 - Dodds Wealth, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date - 11/01/2022 - 90 Hours Per Month/5 Hours During Securities Trading - I provide investment advisory services through Dodds Wealth, LLC, an independent investment advisor firm. I started this business activity in 11/2022. I expect to spend approximately 90 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Dean Edward Norsworthy'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
January 8, 2023 - Present
DODDS WEALTH, LLC
Office #1: 5251 Dtc Parkway Ste 720, Greenwood Village, CO 80111RIA
CRD#: 323632
GREENWOOD VILLAGE, CO
Current
November 10, 2021 - Present
LPL FINANCIAL LLC
Office #1: 5251 Dtc Parkway Suite 720, Greenwood Village, CO 80111RIA
BD
CRD#: 6413
Greenwood Village, CO
Past
April 4, 2022 - May 15, 2023
DODDS WEALTH MANAGEMENT GROUP
RIA
CRD#: 131734
GREENWOOD VILLAGE, CO
Past
November 1, 2021 - April 25, 2023
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MILL, SC
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
DW
DODDS WEALTH, LLC
DODDS WEALTH, LLC
CRD#: 323632 / SEC#: 801-127016
RIA
Registered Investment Advisory firm - (12/8/2022 Approved)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.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
California(1/1/2022)
RR
Colorado(11/10/2021)
IAR
Colorado(1/8/2023)
IAR
Texas(2/10/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/10/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
DW
DODDS WEALTH, LLC
DODDS WEALTH, LLC
CRD#: 323632 / SEC#: 801-127016
RIA
Registered Investment Advisory firm - (12/8/2022 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5251 Dtc Parkway Ste 720, Greenwood Village, CO 80111
Mailing Address
Phone number
(303) 539-3900
Established
Firm type
Fiscal year end
# of Employees
12
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,276 |
| AUM (Assets Under Management) | $ 637,995,577 |
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.
