Dan Brown

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About Dan Brown

I started in the financial services business in 1996 ( Investments and Insurance). I became securities licensed (series 6,63,66, and 7) a few years later. I specialize in creating financial plans for individuals and families, and recommending the appropriate investments to help my clients achieve their goals. I received my Certified Wealth Strategist CWS designation in 2015.

See Disclosures

General Information

Firm Start Year

1996

No. of Employees

CRD#

4163118

Firm CRD#

6413

Insurance License#

60172

States Licensed in

OH,TN,KY,IN,FL

Years of Experience in Financial Services

Number of Years with Current Firm

Work Experience

I am a Fiduciary and have 27 years in the financial service industry. I specialize in helping my clients find the appropriate amount of risk to reach their financial goals. I typically have fees that are consistently lower than the industry norms. A written financial plan is included for all clients with 250k or more to invest.

Work with the following types of clients

Businesses, Individual Investors, Non-Profit Organizations

Advisory Services Provided

Education Funding and Planning, Financial Planning for Individuals, Risk Management, Financial Advice & Consulting, Investment Advice & Management, Estate Planning & Trusts, Insurance Products & Annuities, Financial Planning, Money Management, Wealth Management, 401K Rollovers, Retirement Planning, Portfolio Management

Compliance

Registered Representative

Investment Advisor Representative

Acknowledged fiduciary

Compliance Disclosures in Last 5 years

Have a clean record

Criminal Disclosures in Last 5 years

Have a clean record

Qualifications & Membership

Certifications, Accreditations & Designations

Securities Licenses

Series 6, Series 7, Series 53, Series 66

Insurance and Annuity Licenses

Long Term Care, Variable Life, Variable Annuity, Life, Annuity

Firm Information

Advisor's Number of Clients

Advisor's Number of Managed Clients

Advisor's Number of Planning Clients

Assets Managed by Advisor

$40,000,000

Compensation and Fees

Fee Structure

Fee-Based

Minimum Portfolio Size for New Managed Accounts

$25000

Compensation Methods

Based on Assets

Minimum Fee Charged for Managed Accounts

Minimum Fee Charged for Hourly Planning Accounts

Disclosures

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LPL ADV 2A

https://www.lpl.com/content/dam/edam/format/disclosure/a58.pdf

Additional Detailed Disclosures

https://www.lpl.com/content/dam/edam/format/disclosure/wiseradvisor-lpl-detailed-disclosures.pdf

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Paladin Research Report For:

National Wealth Management Group / LPL Financial