Daniel J. Novak

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CRD#: 1316721

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 Joseph Novak Jr., CFP®, who also goes by Daniel Joseph Novak Jr, Daniel Joseph Novak, was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 1984. Daniel had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6 and Series 26 exams.

Question & Answer

What are your service offerings?

Retirement Planning

Insurance Planning

Estate Planning

Comprehensive Financial Planni...

Investment Planning

Are you a "fiduciary"?

Aliases

Daniel Joseph Novak Jr | Daniel Joseph Novak

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.

NOVAK FINANCIAL PLANNING INC, BEL AIR, MD, NON-INVESTMENT RELATED, START 1984-PRESENT, INSURANCE SALES, AGENT, 10-15 HRS MONTHLY, 0 HRS DURING TRADING, SELL LIFE, HEALTH (DI & LTC) AND ANNUITY INSURANCE PRODUCTS WITH VARIOUS COMPANIES.

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: 1989

Experience

Past

September 1, 2021 - January 6, 2025

ALLWORTH FINANCIAL, L.P.

RIA

CRD#: 111167

Bel Air, MD

Past

September 1, 2021 - January 6, 2025

AW SECURITIES

CRD#: 103747

BEL AIR, MD

Past

February 7, 2008 - December 31, 2009

CADARET, GRANT & CO., INC.

RIA

CRD#: 10641

BEL AIR, MD

Past

January 1, 1998 - October 12, 2021

NOVAK FINANCIAL PLANNING LLC

RIA

CRD#: 109326

BEL AIR, MD

Past

November 3, 1988 - September 3, 2021

CADARET, GRANT & CO., INC.

CRD#: 10641

BEL AIR, MD

Past

October 24, 1987 - November 17, 1988

FOCUS SECURITIES, INC.

CRD#: 15023

Past

December 5, 1984 - November 5, 1987

CADARET, GRANT & CO., INC.

CRD#: 10641

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".

ALLWORTH FINANCIAL, L.P.

CRD#: 111167 / SEC#: 801-68255

RIA

Registered Investment Advisory firm - (8/27/2007 Approved)

California

Registered Investment Advisory firm - (8/30/2007 Terminated)

Georgia

Registered Investment Advisory firm - (8/29/2007 Terminated)

Illinois

Registered Investment Advisory firm - (8/29/2007 Terminated)

Texas

Registered Investment Advisory firm - (8/29/2007 Terminated)

Wisconsin

Registered Investment Advisory firm - (8/29/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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: 8/22/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/28/1995

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 10/18/1985

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 12/4/1984

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 12/19/1996

Investment Company Products/Variable Contracts Principal Examination

Current Firm

ALLWORTH FINANCIAL, L.P.

CRD#: 111167 / SEC#: 801-68255

RIA

Registered Investment Advisory firm - (8/27/2007 Approved)

California

Registered Investment Advisory firm - (8/30/2007 Terminated)

Georgia

Registered Investment Advisory firm - (8/29/2007 Terminated)

Illinois

Registered Investment Advisory firm - (8/29/2007 Terminated)

Texas

Registered Investment Advisory firm - (8/29/2007 Terminated)

Wisconsin

Registered Investment Advisory firm - (8/29/2007 Terminated)

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Contact information

Main Address

340 Palladio Pkwy. Suite 501, Folsom, CA 95630

Mailing Address

Phone number

(916) 482-2196

Established

Firm type

Fiscal year end

# of Employees

466

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RETAIL FORM ADV PART 2A: FIRM BROCHURE (7/1/2025)

FORM ADV PART 2A: APPENDIX 1 - WRAP FEE BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	64,930
AUM (Assets Under Management)	$ 25,097,132,975

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/05/2025	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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Daniel J. Novak

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AW SECURITIES

CADARET, GRANT & CO., INC.

NOVAK FINANCIAL PLANNING LLC

CADARET, GRANT & CO., INC.

FOCUS SECURITIES, INC.

CADARET, GRANT & CO., INC.

Primary Firm SEC Registration

ALLWORTH FINANCIAL, L.P.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/22/1996

SIE

Date: 10/1/2018

Series 7

Date: 7/28/1995

Series 22

Date: 10/18/1985

Series 6

Date: 12/4/1984

Series 26

Date: 12/19/1996

Current Firm

ALLWORTH FINANCIAL, L.P.

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ALLWORTH FINANCIAL, L.P.

TRUST BUT VERIFY

Contact information

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