Daniel S. Kern

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CRD#: 1192557

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Daniel Steven Kern, CFP® was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 1984. Daniel had worked at 6 firms and has passed the Series 63, Series 65, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2016

Experience

Past

November 10, 2015 - February 27, 2023

TFC FINANCIAL MANAGEMENT INC

RIA

CRD#: 105062

Boston, MA

Past

February 4, 2003 - December 31, 2008

CHARLES SCHWAB & CO., INC.

CRD#: 5393

SAN FRANCISCO, CA

Past

August 4, 1997 - December 31, 2002

MAM SECURITIES, LLC

CRD#: 41140

SAN FRANCISCO, CA

Past

August 15, 1995 - July 31, 1997

MONTGOMERY SECURITIES

CRD#: 4357

SAN FRANCISCO, CA

Past

September 17, 1987 - September 25, 1990

WELLS FARGO SECURITIES INC.

CRD#: 17438

SAN FRANCISCO, CA

Past

November 19, 1984 - September 27, 1985

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Past

January 25, 1984 - April 19, 1984

CHARLES SCHWAB & CO., INC.

CRD#: 5393

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".

TFC FINANCIAL MANAGEMENT INC

TFC FINANCIAL MANAGEMENT INC | TFC FINANCIAL MANAGEMENT, INC.

CRD#: 105062 / SEC#: 801-17784

RIA

Registered Investment Advisory firm - (10/12/1982 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 8/25/1995

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/23/1995

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 8/14/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/12/2007

General Securities Principal Examination

Current Firm

TFC FINANCIAL MANAGEMENT INC

TFC FINANCIAL MANAGEMENT INC | TFC FINANCIAL MANAGEMENT, INC.

CRD#: 105062 / SEC#: 801-17784

RIA

Registered Investment Advisory firm - (10/12/1982 Approved)

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Contact information

Main Address

260 Franklin Street Suite 1888, Boston, MA 02110

Mailing Address

Phone number

(617) 210-6700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 (8/5/2025)

Regulatory assets under management

Total Number of Accounts	1,535
AUM (Assets Under Management)	$ 1,537,539,892

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/27/2024	Cover Page	Report
11/22/2023	Cover Page	Report
01/16/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Daniel S. Kern

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

MAM SECURITIES, LLC

MONTGOMERY SECURITIES

WELLS FARGO SECURITIES INC.

AMERIPRISE FINANCIAL SERVICES, LLC

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

TFC FINANCIAL MANAGEMENT INC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/25/1995

Series 65

Date: 8/23/1995

Series 7

Date: 8/14/1995

Series 24

Date: 7/12/2007

Current Firm

TFC FINANCIAL MANAGEMENT INC

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

TFC FINANCIAL MANAGEMENT INC

TRUST BUT VERIFY

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