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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

TIM BROOKS SAMPSON

Advisor at ESI FINANCIAL ADVISORS

DALLAS, TX | MONTPELIER, VT

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Search this name across graphsid dfx:ria:fd7bce5b-9760-37d3-8fb5-7ac13a8efdff

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Feb 4, 2003 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: ESI FINANCIAL ADVISORS
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 11, 1992earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Nov 11, 1992
First registration: Feb 4, 2003
Dual registered: yes, broker-dealer
Other names: TIMOTHY BROOKS SAMPSON
IAPD individual key: 2296810

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
ESI FINANCIAL ADVISORS	Independent wealth	Mar 8, 2021	n/a	yes	DALLAS, TX\|MONTPELIER, VT	Current employment
KOVACK ADVISORS, INC.	Bd affiliated wealth	Oct 29, 2014	Mar 5, 2021	no	DALLAS, TX\|DESOTO, TX\|FT. LAUDERDALE, FL	Previous registration
RESOURCE HORIZONS INVESTMENT ADVISORY, INC.	Former SEC adviser	Nov 23, 2009	Dec 31, 2014	no	DESOTO, TX	Previous registration
CULLUM & BURKS SECURITIES, INC.	n/a	Apr 10, 2007	Nov 24, 2009	no	HOUSTON, TX\|DALLAS, TX\|DALLAS, TX\|DESOTO, TX	Previous registration
UNITED SECURITIES ALLIANCE, INC.	n/a	Feb 4, 2003	Aug 25, 2003	no	DESOTO, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
KOVACK ADVISORS, INC.	ESI FINANCIAL ADVISORS	Mar 5, 2021	Mar 8, 2021	3	Firm change	Ibd to ibd
RESOURCE HORIZONS INVESTMENT ADVISORY, INC.	KOVACK ADVISORS, INC.	Dec 31, 2014	Oct 29, 2014	-63	Bulk transfer	Other
CULLUM & BURKS SECURITIES, INC.	RESOURCE HORIZONS INVESTMENT ADVISORY, INC.	Nov 24, 2009	Nov 23, 2009	-1	Firm change	Other
UNITED SECURITIES ALLIANCE, INC.	CULLUM & BURKS SECURITIES, INC.	Aug 25, 2003	Apr 10, 2007	1,324	Firm change after gap	Other

Relationships

Registered with (5)

→ ESI FINANCIAL ADVISORSRegistered adviserregistration: current employment
Mar 8, 2021 to presentfactForm ADV
→ KOVACK ADVISORS, INC.Registered adviserregistration: previous registration
Oct 29, 2014 to Mar 5, 2021factForm ADV
→ RESOURCE HORIZONS INVESTMENT ADVISORY, INC.Registered adviserregistration: previous registration
Nov 23, 2009 to Dec 31, 2014factForm ADV
→ CULLUM & BURKS SECURITIES, INC.Registered adviserregistration: previous registration
Apr 10, 2007 to Nov 24, 2009factForm ADV
→ UNITED SECURITIES ALLIANCE, INC.Registered adviserregistration: previous registration
Feb 4, 2003 to Aug 25, 2003factForm ADV

Dated events

No dated event names this entity yet.