David Paul Heroux

Current Employers

Employment History

• 05/2015 → Present
  Kestra Investment Services, Llc
  Westlake Village, CA
• 05/2015 → 10/2025
  Nfp Retirement, Inc.
  Aliso Viejo, CA
• 10/2025 → Present
  Wealthspire Retirement Advisory
  Aliso Viejo, CA

Previous Registrations

• 2014-03-14 → 2015-06-10
  Independent Financial Partners
  Santa Ana, CA
• 2013-05-16 → 2015-05-21
  Lpl Financial Llc
  Santa Ana, CA
  Sacramento, CA
  Santa Ana, CA
• 2006-07-13 → 2013-05-29
  Questar Asset Management, Inc.
  Simi Valley, CA
• 2004-05-14 → 2006-06-16
  Usallianz Securities, Inc.
  Los Angeles, CA
  Simi Valley, CA
  Santa Ana, CA
  Simi Valley, CA

Other Businesses

Business Name: NFP Investment Related: No Address: 120 Vantis Suite 400 Aliso Viejo CA 91361 Nature of Business: Other TPA Position, Title or Relationship: director, general day to day management of the business, sales and client contact. I do not do administration work Start Date: 3/1/2009 Hours per month: 11% - 20% (17 - 32 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: manage employees, direct sales efforts, interface with clients, manage profit and loss of the businessBusiness Name: NFP Retirement Investment Related: Yes Address: 31416 Agoura Road, Suite 235 Westlake Village CA 91361 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Investment Advisory services through an independent outside RIA Position, Title or Relationship: Managing Director Start Date: 5/12/2015 Hours per month: 61% - 70% (97 - 112 hours) Hours per month during trading hours: 61% - 70% (85 - 98 hours) Duties: sales and service, portfilo design and management, financial planning, retirement readiness evaluationsBusiness Name: David Heroux Investment Related: Yes Address: 31416 Agoura Road, Suite 235 Westlake Village CA 91361 Nature of Business: Insurance Position, Title or Relationship: Sales Start Date: 6/16/2015 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: identify and help close sales, use other NFP resources as requiredBusiness Name: Boys and Girls club of Greater Conejo Valley Investment Related: No Address: 30343 Canwood Street Suite 200 Agoura Hills CA 91301 Nature of Business: Board Position (Board of Directors, Board of Trustees, etc.) Position, Title or Relationship: board member Start Date: 3/14/2016 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: fund raising obligations, attend 75% of board and committee meetingsBusiness Name: F Strat Holdings, Inc. Investment Related: No Address: 488 Oakhampton Street Thousand Oaks, CA CA 91361 Nature of Business: Other Other/None of the Above This entity is being formed to hold private investments Position, Title or Relationship: Owner Start Date: 7/1/2017 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Plan to use this entity for personal investments

Exams

• S66 Uniform Combined State Law Examination
  2004-01-20