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Danny Y. La

Investment Adviser Representative at CAPITAL ADVISORS, INC.

Austin, TXCRD #5479587Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
17 yrs
States Registered
2 states
Exams Passed
6

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Danny Y. La has worked in the securities industry since 2009. They are registered to provide investment advisory services in Oklahoma and Texas.

Registrations & licenses

Registration type
Dual-registered
Registered in 2 states
OklahomaTexas
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 3/14/2017
Series 63
Uniform Securities Agent State Law Examination
Passed 6/9/2009
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 4/8/2009
Series 10
General Securities Sales Supervisor - General Module Examination
Passed 2/7/2013
Series 9
General Securities Sales Supervisor - Options Module Examination
Passed 10/6/2012

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Blended rate
0.01
Account minimum: $500,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

Capital Advisors, Inc. Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

CAPITAL ADVISORS, INC.Current
2/7/2019Austin, TX
TD AMERITRADE, INC.
2/27/20181/3/2019Austin, TX
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
2/26/20181/3/2019Omaha, NE
SCOTTRADE INVESTMENT MANAGEMENT
3/14/20172/26/2018Saint Louis, MO

Official records & sources

Data as of June 21, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Danny Y. La has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Danny Y. La - Financial Advisor in Austin, TX | AdvisorFinder