Daniel G. Courtney

RUBINBROWN ADVISORS LLC

Denver, CO 80202

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CRD#: 1356645

Professional summary

Daniel Glen Courtney, CFP® is a registered financial advisor currently at RUBINBROWN ADVISORS LLC located in Denver, Colorado.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Daniel has worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Crestmoor Partners LLC is a single member limited liability company that was the dba for Basis Financial Planning; Investment-Related; Denver, CO. The RIA has been withdrawn, and Crestmoor is no longer investment-related. Daniel is keeping Crestmoor Partners LLC open for a short time to close out the business. Daniel spends none of his time with this business and will be closing the LLC later in 2022.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Glen Courtney's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2020

Experience

Current

May 16, 2022 - Present

RUBINBROWN ADVISORS LLC

Office #1: 1900 16th Street Suite 1700, Denver, CO 80202

RIA

CRD#: 116909

Denver, CO

Past

September 17, 2021 - May 6, 2022

ORIGIN INVESTMENT ADVISORY LLC

RIA

CRD#: 305353

DENVER, CO

Past

February 19, 2021 - August 24, 2022

BASIS FINANCIAL PLANNING

RIA

CRD#: 312270

DENVER, CO

Past

July 2, 2019 - October 31, 2019

ALPHA CAPITAL MANAGEMENT GROUP LLC

RIA

CRD#: 283624

CENTENNIAL, CO

Past

August 11, 2017 - March 20, 2019

ADVISORS ASSET MANAGEMENT, INC.

CRD#: 46727

MONUMENT, CO

Past

July 21, 2015 - July 25, 2017

WALTON RE SECURITIES, LLC

CRD#: 172024

SCOTTSDALE, AZ

Past

January 30, 2013 - February 3, 2014

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

November 6, 2006 - June 11, 2012

RESOURCE SECURITIES LLC

CRD#: 133022

PHILADELPHIA, PA

Past

December 2, 2005 - November 3, 2006

ANTHEM SECURITIES, INC.

CRD#: 42420

PHILADELPHIA, PA

Past

April 1, 2004 - October 3, 2005

ATEL SECURITIES CORPORATION

CRD#: 17229

SAN FRANCISCO, CA

Past

August 17, 1993 - October 1, 2002

RELATED EQUITIES CORPORATION

CRD#: 11218

NEW YORK, NY

Past

May 4, 1993 - July 26, 1993

PHOENIX SECURITIES, INC.

CRD#: 10507

SAN RAFAEL, CA

Past

December 22, 1989 - May 24, 1991

TCC SECURITIES CORPORATION

CRD#: 20842

SAN FRANCISCO, CA

Past

October 28, 1986 - December 19, 1988

SHURGARD REALTY ADVISORS, INC.

CRD#: 14034

Past

April 24, 1985 - August 27, 1986

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

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".

RUBINBROWN ADVISORS LLC

CRD#: 116909 / SEC#: 801-62021

RIA

Registered Investment Advisory firm - (5/2/2003 Approved)

Arizona

Registered Investment Advisory firm - (5/7/2003 Terminated)

Florida

Registered Investment Advisory firm - (5/7/2003 Terminated)

Illinois

Registered Investment Advisory firm - (5/5/2003 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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Colorado
(5/16/2022)

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

IAR

Series 65

Date: 5/31/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/12/2004

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: 5/2/2005

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 3/31/2004

Direct Participation Programs Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/25/2005

General Securities Principal Examination

Current Firm

RUBINBROWN ADVISORS LLC

CRD#: 116909 / SEC#: 801-62021

RIA

Registered Investment Advisory firm - (5/2/2003 Approved)

Arizona

Registered Investment Advisory firm - (5/7/2003 Terminated)

Florida

Registered Investment Advisory firm - (5/7/2003 Terminated)

Illinois

Registered Investment Advisory firm - (5/5/2003 Terminated)

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Contact information

Main Address

7676 Forsyth Blvd. Suite 2100, St. Louis, MO 63105

Mailing Address

Phone number

(314) 290-3300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (11/3/2025)

Regulatory assets under management

Total Number of Accounts	3,918
AUM (Assets Under Management)	$ 3,268,176,113

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 G. Courtney

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Glen Courtney's CRS (Customer Relationship Summary).

Certified licenses

Experience

ORIGIN INVESTMENT ADVISORY LLC

BASIS FINANCIAL PLANNING

ALPHA CAPITAL MANAGEMENT GROUP LLC

ADVISORS ASSET MANAGEMENT, INC.

WALTON RE SECURITIES, LLC

CAPITAL BROKERAGE CORPORATION

RESOURCE SECURITIES LLC

ANTHEM SECURITIES, INC.

ATEL SECURITIES CORPORATION

RELATED EQUITIES CORPORATION

PHOENIX SECURITIES, INC.

TCC SECURITIES CORPORATION

SHURGARD REALTY ADVISORS, INC.

STIFEL, NICOLAUS & COMPANY, INCORPORATED

Primary Firm SEC Registration

RUBINBROWN ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/31/2019

Series 63

Date: 4/12/2004

SIE

Date: 10/1/2018

Series 7

Date: 5/2/2005

Series 22

Date: 3/31/2004

Series 24

Date: 5/25/2005

Current Firm

RUBINBROWN ADVISORS LLC

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RUBINBROWN ADVISORS LLC

TRUST BUT VERIFY

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