Dan L. Carney

CARNEY PORTFOLIO MANAGEMENT

Costa Mesa, CA 92627

Some features on this profile are disabled

CRD#: 1685706

Professional summary

Dan Lane Carney is a registered financial advisor currently at CARNEY PORTFOLIO MANAGEMENT INC. located in Costa Mesa, California.

Dan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Dan has worked at 6 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 8 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.

Dan Carney is a member of the Board of Directors, Midwest Insurance, a home insurance agency based in South Dakota. That profession takes up about 10% of his workweek. Dan Carney is employed as the Chief Investment Officer (CIO) for Midwest Insurance and paid an annual salary. This activity takes about 25% of his time.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dan Lane Carney'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®

None

Experience

Current

January 25, 2005 - Present

CARNEY PORTFOLIO MANAGEMENT INC.

Office #1: 950 South Coast Drive Suite# 225, Costa Mesa, CA 92627

RIA

CRD#: 132883

Costa Mesa, CA

Past

May 6, 2002 - May 21, 2004

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

May 2, 2002 - May 21, 2004

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

CAPITOLA, CA

Past

June 5, 1996 - May 2, 2002

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

July 8, 1993 - June 11, 1996

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

April 11, 1988 - July 27, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

June 24, 1987 - April 11, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

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

California
(1/25/2005)

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: 6/8/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/24/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 7/24/1987

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 6/20/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 3/14/1997

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

CARNEY PORTFOLIO MANAGEMENT INC.

CRD#: 132883 / SEC#:

California

Registered Investment Advisory firm - (1/24/2005 Approved)

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

950 South Coast Drive Suite #225, Costa Mesa, CA 92627

Mailing Address

Phone number

(949) 433-0647

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	79
AUM (Assets Under Management)	$ 90,868,000

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.

Similar Advisors

Kenneth Hickman

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brea, CA

Barton Pearce

PARK AVENUE SECURITIES LLC

IAR

IRVINE, CA

Ryan Gallo

LPL FINANCIAL LLC

IAR

FULLERTON, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Dan L. Carney

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dan Lane Carney's CRS (Customer Relationship Summary).

Certified licenses

Experience

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

A. G. EDWARDS & SONS, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/8/2004

Series 63

Date: 7/24/1987

Series 3

Date: 7/24/1987

Series 7

Date: 6/20/1987

Series 8

Date: 3/14/1997

Current Firm

CARNEY PORTFOLIO MANAGEMENT INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CARNEY PORTFOLIO MANAGEMENT INC.

TRUST BUT VERIFY

Similar Advisors