EXPAND FINANCIAL GROUP, LLC of BURLESON, TX is an SEC-registered investment adviser (CRD 293160). Regulatory assets under management: $113.5M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Charities.
| Name | Role | Location |
|---|---|---|
| David Jay Bennett | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | — |
| BENNETT DAVID JAY | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-12-11 | regulatory | RENDERED INVESTMENT ADVICE, FROM A LOCATION WITHIN FLORIDA, WITHOUT BEING REGISTERED BY THE OFFICE. | Final | $10K |
| 2021-11-15 | regulatory | THE ADVISER TRANSACTED BUSINESS AS AN INVESTMENT ADVISER IN PENNSYLVANIA WHILE NEITHER REGISTERED WITH THE PENNSYLVANIA DEPARTMENT OF BANKING AND SECURITIES NOR EXEMPT FROM REGISTRATION. | Final | $662 |
| City | State | Employees | Phone |
|---|---|---|---|
| — | — | 1 | (406)209-6221 |
| — | — | 1 | (503) 550-5551 |
| SPRING HILL | TN | 1 | (916) 521-5451 |
| CORSICANA | TX | 1 | (916) 367-1087 |
| — | — | 1 | 5035505551 |