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Justin Dausch

Chief Compliance Officer at Alm First Financial Advisors

Broker registration; no current adviser registrationSEC record checked 18 October 2026

0
Past adviser firms
7
Licensing exams

IAPD record retrieved 18 October 2026SEC record

Justin Dausch is Chief Compliance Officer of Alm First Financial Advisors LLC, a Dallas investment adviser managing $76.2B. Justin Dausch has a current broker registration and no current investment-adviser registration and has passed 7 licensing exams.

Role at Alm First Financial Advisors

Title on Schedule A
Chief Compliance Officer
Control
Justin Dausch is not a control person of Alm First Financial Advisors.
Ownership
An individual ownership band is not available in the source record.
Tenure
Justin Dausch has held the filed role since September 2023.

The firm

Alm First Financial Advisors LLC
Dallas, TX

Form ADV filed 30 March 2026

$76.2B AUM162 clients10 advisers1 offices

Career on record

Firms and exams, newest first
  1. Passed Series 14 and Series 99TO · 2025
  2. Passed Series 79TO · 2021
  3. Passed Series 63 · 2020
  4. Passed Series 24 · 2019
  5. Passed Series 7 and SIE · 2018

Registrations and exams

Broker registration; no current adviser registration. Justin Dausch has passed 7 qualifying exams.

Examinations

Series 6330 November 2020
Name
Uniform Securities Agent State Law Examination
Series 1421 January 2025
Name
Compliance Officer Examination
Series 2421 January 2019
Name
General Securities Principal Examination
Series 99TO21 January 2025
Name
Operations Professional Examination
Series 79TO23 August 2021
Name
Investment Banking Registered Representative Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 73 April 2018
Name
General Securities Representative Examination

Individual record

Full name
Justin Carter Dausch
CRD
6919209
Firm
Alm First Financial Advisors LLC
Registration status
Broker registration; no current adviser registration
Firm bio
almfirst.com

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Background

ALM First identifies Justin Dausch as Chief Compliance Officer. ALM First official Code of Ethics page

Common questions

Where does Justin Dausch work?

Justin Dausch has been Chief Compliance Officer of Alm First Financial Advisors LLC since September 2023.

Source: Form ADV, Schedule A, filed 30 March 2026

Does Justin Dausch have a current investment-adviser registration?

Justin Dausch has a current broker registration and no current investment-adviser registration, as of 18 October 2026.

Source: IAPD individual record, checked 18 October 2026

What exams has Justin Dausch passed?

Justin Dausch has passed 7 licensing exams: the Series 7, SIE, Series 24, Series 63, Series 79TO, Series 14 and Series 99TO. The earliest, the Series 7, was passed in April 2018.

Source: IAPD individual record, checked 18 October 2026

Leadership at Alm First Financial Advisors

Sources

  1. IAPD individual record, CRD 6919209. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Alm First Financial Advisors LLC, filed 30 March 2026. Title, control and ownership bands.
  3. Alm First Financial Advisors team page. Biography, education, credentials, awards.

Retrieved 18 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Justin Dausch or Alm First Financial Advisors LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.