DD
Dan E. Droeg
Some features on this profile are disabled
CRD#: 1509210
DD
Professional summary
Dan Edward Droeg was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Dan is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, Dan had worked at 8 firms, which includes UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER, OSAIC SERVICES INC., GROVE POINT INVESTMENTS LLC, WOODBURY FINANCIAL SERVICES INC., AMERICAN GENERAL SECURITIES INCORPORATED, SUNAMERICA SECURITIES INC., ADVANTAGE CAPITAL CORPORATION, ANCHOR NATIONAL FINANCIAL SERVICES INC..
Question & Answer
Are you a "fiduciary"?
No
Aliases
Dan Edwards Droeg | Dan Droeg
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)
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®
NoneExperience
Past
August 13, 2021 - October 11, 2021
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
RIA
CRD#: 20804
MESA, AZ
Past
August 12, 2021 - October 11, 2021
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
BD
CRD#: 20804
MESA, AZ
Past
August 31, 2018 - August 18, 2021
OSAIC SERVICES, INC.
RIA
CRD#: 133763
MESA, AZ
Past
August 30, 2018 - August 18, 2021
OSAIC SERVICES, INC.
BD
CRD#: 133763
MESA, AZ
Past
June 8, 2012 - August 31, 2018
GROVE POINT INVESTMENTS, LLC
RIA
CRD#: 1763
MESA, AZ
Past
May 23, 2012 - August 31, 2018
GROVE POINT INVESTMENTS, LLC
BD
CRD#: 1763
MESA, AZ
Past
June 15, 2007 - May 30, 2012
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
MESA, AZ
Past
June 5, 2007 - May 30, 2012
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
MESA, AZ
Past
November 11, 1999 - June 7, 2007
AMERICAN GENERAL SECURITIES INCORPORATED
BD
CRD#: 13626
MESA, AZ
Past
July 30, 1993 - November 22, 1999
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
June 16, 1992 - July 30, 1993
AMERICAN GENERAL SECURITIES INCORPORATED
BD
CRD#: 13626
PHOENIX, AZ
Past
July 9, 1987 - June 17, 1992
ADVANTAGE CAPITAL CORPORATION
BD
CRD#: 146
ATLANTA, GA
Past
June 19, 1986 - July 11, 1987
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
BD
CRD#: 5774
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".
UP
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
APEX RETIREMENT CONSULTING LLC | YEECORP FINANCIAL | WIRE TO WIRE WEALTH | WENDEL FINANCIAL GROUP | WEALTH AVENUE | VOYAGE PARTNERS FINANCIAL STRATEGIES, LLC | UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER | UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA | UNITED PLANNERS FINANCIAL SERVICES | UNITED PLANNERS | TRIBUTE FINANCIAL INC. | STEWARDSHIP AMERICA FINANCIAL | SKYE FINANCIAL SERVICES, INC | SKS RETIREMENT SOLUTIONS | RIVERCREST FINANCIAL | RINGENBERG FINANCIAL GROUP | RETIREMENT & MONEY STRATEGIES | PALMER NUNN WEALTH MANAGEMENT | MUNKEBY KRAMER | MARION WEALTH MANAGEMENT GROUP | MABE FINANCIAL GROUP | LONG VIEW FINANCIAL SERVICES, INC. | LEE STOERZINGER, INC. | KILMER & COMPANY | INVESTMENT CENTER | HF CAPITAL GROUP LLC | HEMINGWAY WEALTH MANAGEMENT, LLC | GUIDANT PLANNING, INC | GOTTA RETIREMENT SERVICES, INC. | GER LOFTIN WEALTH ADVISORS, LLC | FULL CIRCLE FINANCIAL | FOOTHILL FINANCIAL GROUP | FIRESKY FINANCIAL INC. | FINANCIAL PLANNING ADVISORS, INC. | CATALYST FINANCIAL STRATEGIES LLC | CAPITAL LEGACY PARTNERS, LLC | BROOKHAVEN WEALTH MANAGEMENT INC. | BERAN FINANCIAL PARTNERS
CRD#: 20804 / SEC#: 801-57198, 8-38485
RIA
Registered Investment Advisory firm - SEC (1/28/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/26/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Current Firm
UP
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
APEX RETIREMENT CONSULTING LLC | YEECORP FINANCIAL | WIRE TO WIRE WEALTH | WENDEL FINANCIAL GROUP | WEALTH AVENUE | VOYAGE PARTNERS FINANCIAL STRATEGIES, LLC | UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER | UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA | UNITED PLANNERS FINANCIAL SERVICES | UNITED PLANNERS | TRIBUTE FINANCIAL INC. | STEWARDSHIP AMERICA FINANCIAL | SKYE FINANCIAL SERVICES, INC | SKS RETIREMENT SOLUTIONS | RIVERCREST FINANCIAL | RINGENBERG FINANCIAL GROUP | RETIREMENT & MONEY STRATEGIES | PALMER NUNN WEALTH MANAGEMENT | MUNKEBY KRAMER | MARION WEALTH MANAGEMENT GROUP | MABE FINANCIAL GROUP | LONG VIEW FINANCIAL SERVICES, INC. | LEE STOERZINGER, INC. | KILMER & COMPANY | INVESTMENT CENTER | HF CAPITAL GROUP LLC | HEMINGWAY WEALTH MANAGEMENT, LLC | GUIDANT PLANNING, INC | GOTTA RETIREMENT SERVICES, INC. | GER LOFTIN WEALTH ADVISORS, LLC | FULL CIRCLE FINANCIAL | FOOTHILL FINANCIAL GROUP | FIRESKY FINANCIAL INC. | FINANCIAL PLANNING ADVISORS, INC. | CATALYST FINANCIAL STRATEGIES LLC | CAPITAL LEGACY PARTNERS, LLC | BROOKHAVEN WEALTH MANAGEMENT INC. | BERAN FINANCIAL PARTNERS
CRD#: 20804 / SEC#: 801-57198, 8-38485
RIA
Registered Investment Advisory firm - SEC (1/28/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
7333 E. Doubletree Ranch Road #120, Scottsdale, AZ 85258
Mailing Address
P.o. Box 5750, Scottsdale, AZ 85261-5750
Phone number
(480) 991-0225
Established
Arizona since 08/21/1987
Firm type
Partnership
Fiscal year end
December
Firm Size
Large
# of Employees
614
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UNITED PLANNERS' GROUP, INC. | GENERAL PARTNER | |
| BAKER, MICHAEL A | PRESIDENT | 4037933 |
| BAKER, MICHAEL A | CHIEF EXECUTIVE OFFICE (CEO) | 4037933 |
| CUFFARI-AGASI, SHEILA JUNE | EXECUTIVE VICE PRESIDENT | 2401020 |
| HAUER, DAVE B | VICE PRESIDENT COMPLIANCE, CHIEF COMPLIANCE OFFICER | 4018434 |
| OLIVERIO, KENNETH WILLIAM JR | EXECUTIVE VICE PRESIDENT, CHIEF MARKETING OFFICER | 2957427 |
| SHINDEL, CHAD TRAVIS | VICE PRESIDENT, CHIEF FINANCIAL OFFICER (CFO) | 6232253 |
Regulatory assets under management
| Total Number of Accounts | 41,834 |
| AUM (Assets Under Management) | $ 10,637,349,683 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
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.
