DS
Daniel M. Schiff
KCD FINANCIAL
San Jose, CA 95128
Some features on this profile are disabled
CRD#: 1063016
DS
Professional summary
Daniel Mark Schiff is a registered financial professional currently at KCD FINANCIAL, INC. located in San Jose, California.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 1982. Daniel has worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 52 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Daniel Mark Schiff's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 3, 2007 - Present
KCD FINANCIAL, INC.
Office #1: 950 S. Bascom Avenue #1113, San Jose, CA 95128RIA
BD
CRD#: 127473
San Jose, CA
Past
May 1, 1989 - January 4, 2007
LPL FINANCIAL LLC
BD
CRD#: 6413
SAN JOSE, CA
Past
August 13, 1987 - May 10, 1989
AGFC INVESTMENT SECURITIES
BD
CRD#: 19869
Past
June 23, 1987 - September 3, 1987
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Past
September 9, 1982 - February 14, 1983
CALIFORNIA MUNICIPAL INVESTORS, INC.
BD
CRD#: 7311
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
KF
KCD FINANCIAL, INC.
A4 CAPITAL MANAGEMENT | WESTMONT FINANCIAL | WALLACE FINANCIALS | W. D. GUERRE & ASSOCIATES | VOGEL FINANCIAL SERVICES | TUTTLE FINANCIAL | THE WILLIAMS FINANCIAL GROUP | THE STEFFEN INVESTMENT CO., INC. | TABER FINANCIAL ADVISORS | SUN CITIES FINANCIAL GROUP | STRATEGIC ALLIANCE INVESTMENT ADVISORS, INC. | STEVENS INVESTMENT SERVICES | SENIOR RESOURCE CONSULTANTS | SCP CAPITAL MANAGEMENT | SCHUMACHER INVESTMENTS AND MORTGAGE FIRM | SAFE RETIREMENT ADVOCATES, LLC | SACKS GROUP, INC. | REALTY CAPITAL PARTNERS, LLC | R. L. DAIL INVESTMENTS LLC | R F FINANCIAL | PULSE FINANCIAL SERVICES | PAPPAS WEALTH MANAGEMENT | OAK BROOK BENEFIT RESOURCES | NICOLET INVESTMENT CENTER | MY ADVISOR FINANCIAL, INC | MIDWEST ADVANCED PLANNING GROUP | MAINSTREAM FINANCIAL | MACHTAN FINANCIAL SERVICES GROUP | LAWRENCE FINANCIAL SERVICES, LLC | KEATING AND ASSOCIATES | KCD FINANCIAL, INC. | K OATEN FINANCIAL GROUP | JEWELL FINANCIAL SERVICES, INC. | J G WEALTH MANAGEMENT | INTEGRITY RETIREMENT PLANS | INTEGRITY INVESTMENTS, INC. | INTEGER FINANCIAL SVS. | HOWELL & ASSOCIATES ADVANCED PLANNING LLC | HERITAGE BENEFITS | HARRIS FINANCIAL | H & B FINANCIAL GROUP, INC. | GUIDED FINANCIAL ADVISORS | GO GREAT LAKES FINANCIAL, INC. | FUTURE FINANCIAL | FIRST PLAN FINANCIAL SERVICES, LLC | FESS FINANCIAL | FAMILY FINANCIAL | ERIC WALTZ FINANCIAL SOLUTIONS, INC. | ELIASON INVESTMENTS | E TAX CORPORATION | DUNN FINANCIAL GROUP | DLR INVESTMENTS | DEWITT & DUNN | DDG WEALTH CONSULTANTS | CR FINANCIAL GROUP | CORNERSTONE FINANCIAL STRATEGIES | CHRISTOPHER C. FESS | CHOOSRI LAO FINANCIAL SERVICES | CHEN | CENTRAL FINANCIAL SERVICES OF MISSOURI, INC | CENTRAL FINANCIAL SERV OF MO, INC. | CENTRAL FINANCIAL LLC | BRADLE INVESTMENT GROUP | BORDE & ASSOCIATES PA | BENEFITS PLUS | BEACON FINANCIAL SERVICES | BAYSIDE WEALTH MANAGEMENT LLC | AVR FINANCIAL LLC | ARNHOLT INSURANCE AGENCY
CRD#: 127473 / SEC#: 801-110069, 8-66005
RIA
Registered Investment Advisory firm - SEC (3/16/2017 Approved)Arizona
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)California
Registered Investment Advisory firm - SEC (4/30/2017 Terminated)Colorado
Registered Investment Advisory firm - SEC (4/7/2017 Terminated)Connecticut
Registered Investment Advisory firm - SEC (12/12/2011 Terminated)Florida
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)Idaho
Registered Investment Advisory firm - SEC (12/13/2011 Terminated)Illinois
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)Indiana
Registered Investment Advisory firm - SEC (12/31/2007 Terminated)Kansas
Registered Investment Advisory firm - SEC (12/31/2009 Terminated)Maryland
Registered Investment Advisory firm - SEC (4/21/2017 Terminated)Michigan
Registered Investment Advisory firm - SEC (4/12/2017 Terminated)Minnesota
Registered Investment Advisory firm - SEC (4/3/2017 Terminated)Missouri
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)Montana
Registered Investment Advisory firm - SEC (12/12/2011 Terminated)Nebraska
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)New Jersey
Registered Investment Advisory firm - SEC (4/27/2017 Terminated)New York
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)Ohio
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)Oregon
Registered Investment Advisory firm - SEC (6/14/2010 Terminated)Texas
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)Utah
Registered Investment Advisory firm - SEC (11/23/2011 Terminated)Washington
Registered Investment Advisory firm - SEC (4/10/2017 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(1/3/2007)
RR
Colorado(10/6/2017)
RR
North Carolina(5/3/2016)
RR
Oregon(2/9/2021)
RR
Texas(1/5/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
KF
KCD FINANCIAL, INC.
A4 CAPITAL MANAGEMENT | WESTMONT FINANCIAL | WALLACE FINANCIALS | W. D. GUERRE & ASSOCIATES | VOGEL FINANCIAL SERVICES | TUTTLE FINANCIAL | THE WILLIAMS FINANCIAL GROUP | THE STEFFEN INVESTMENT CO., INC. | TABER FINANCIAL ADVISORS | SUN CITIES FINANCIAL GROUP | STRATEGIC ALLIANCE INVESTMENT ADVISORS, INC. | STEVENS INVESTMENT SERVICES | SENIOR RESOURCE CONSULTANTS | SCP CAPITAL MANAGEMENT | SCHUMACHER INVESTMENTS AND MORTGAGE FIRM | SAFE RETIREMENT ADVOCATES, LLC | SACKS GROUP, INC. | REALTY CAPITAL PARTNERS, LLC | R. L. DAIL INVESTMENTS LLC | R F FINANCIAL | PULSE FINANCIAL SERVICES | PAPPAS WEALTH MANAGEMENT | OAK BROOK BENEFIT RESOURCES | NICOLET INVESTMENT CENTER | MY ADVISOR FINANCIAL, INC | MIDWEST ADVANCED PLANNING GROUP | MAINSTREAM FINANCIAL | MACHTAN FINANCIAL SERVICES GROUP | LAWRENCE FINANCIAL SERVICES, LLC | KEATING AND ASSOCIATES | KCD FINANCIAL, INC. | K OATEN FINANCIAL GROUP | JEWELL FINANCIAL SERVICES, INC. | J G WEALTH MANAGEMENT | INTEGRITY RETIREMENT PLANS | INTEGRITY INVESTMENTS, INC. | INTEGER FINANCIAL SVS. | HOWELL & ASSOCIATES ADVANCED PLANNING LLC | HERITAGE BENEFITS | HARRIS FINANCIAL | H & B FINANCIAL GROUP, INC. | GUIDED FINANCIAL ADVISORS | GO GREAT LAKES FINANCIAL, INC. | FUTURE FINANCIAL | FIRST PLAN FINANCIAL SERVICES, LLC | FESS FINANCIAL | FAMILY FINANCIAL | ERIC WALTZ FINANCIAL SOLUTIONS, INC. | ELIASON INVESTMENTS | E TAX CORPORATION | DUNN FINANCIAL GROUP | DLR INVESTMENTS | DEWITT & DUNN | DDG WEALTH CONSULTANTS | CR FINANCIAL GROUP | CORNERSTONE FINANCIAL STRATEGIES | CHRISTOPHER C. FESS | CHOOSRI LAO FINANCIAL SERVICES | CHEN | CENTRAL FINANCIAL SERVICES OF MISSOURI, INC | CENTRAL FINANCIAL SERV OF MO, INC. | CENTRAL FINANCIAL LLC | BRADLE INVESTMENT GROUP | BORDE & ASSOCIATES PA | BENEFITS PLUS | BEACON FINANCIAL SERVICES | BAYSIDE WEALTH MANAGEMENT LLC | AVR FINANCIAL LLC | ARNHOLT INSURANCE AGENCY
CRD#: 127473 / SEC#: 801-110069, 8-66005
RIA
Registered Investment Advisory firm - SEC (3/16/2017 Approved)Arizona
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)California
Registered Investment Advisory firm - SEC (4/30/2017 Terminated)Colorado
Registered Investment Advisory firm - SEC (4/7/2017 Terminated)Connecticut
Registered Investment Advisory firm - SEC (12/12/2011 Terminated)Florida
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)Idaho
Registered Investment Advisory firm - SEC (12/13/2011 Terminated)Illinois
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)Indiana
Registered Investment Advisory firm - SEC (12/31/2007 Terminated)Kansas
Registered Investment Advisory firm - SEC (12/31/2009 Terminated)Maryland
Registered Investment Advisory firm - SEC (4/21/2017 Terminated)Michigan
Registered Investment Advisory firm - SEC (4/12/2017 Terminated)Minnesota
Registered Investment Advisory firm - SEC (4/3/2017 Terminated)Missouri
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)Montana
Registered Investment Advisory firm - SEC (12/12/2011 Terminated)Nebraska
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)New Jersey
Registered Investment Advisory firm - SEC (4/27/2017 Terminated)New York
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)Ohio
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)Oregon
Registered Investment Advisory firm - SEC (6/14/2010 Terminated)Texas
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)Utah
Registered Investment Advisory firm - SEC (11/23/2011 Terminated)Washington
Registered Investment Advisory firm - SEC (4/10/2017 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
3061 Allied Street Suite B, Green Bay, WI 54304
Mailing Address
3061 Allied Street Suite B, Green Bay, WI 54304
Phone number
(920) 347-3400
Established
Wisconsin since 05/19/2003
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
28
SEC notice filing (28 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 697 |
| AUM (Assets Under Management) | $ 182,585,838 |
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
