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DB

Daniel C. Burns

Some features on this profile are disabled
CRD#: 2269946
DB

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 C Burns, who also goes by Dan Burns, Daniel Cox Burns, was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 1994. Daniel had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dan Burns | Daniel Cox Burns

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®
None

Experience

Past

January 4, 2021 - October 23, 2024

INDEPENDENT BROKERAGE SOLUTIONS LLC

BD
CRD#: 153563
Manchester, NH
Past

May 14, 2020 - January 2, 2021

VIGILANT DISTRIBUTORS, LLC

BD
CRD#: 285573
Manchester, NH
Past

January 15, 2020 - March 9, 2020

EMPOWER ADVISORY GROUP, LLC

RIA
CRD#: 112058
NORTH ANDOVER, MA
Past

January 10, 2020 - March 9, 2020

EMPOWER FINANCIAL SERVICES, INC.

BD
CRD#: 13109
GREENWOOD VILLAGE, CO
Past

February 29, 2008 - August 7, 2019

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA
CRD#: 20472
WALTHAM, MA
Past

February 25, 2008 - August 7, 2019

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

BD
CRD#: 20472
WALTHAM, MA
Past

September 23, 2005 - November 30, 2007

UVEST FINANCIAL SERVICES GROUP, INC.

RIA
CRD#: 13787
MARBLEHEAD, MA
Past

September 22, 2005 - November 30, 2007

UVEST FINANCIAL SERVICES GROUP, INC.

BD
CRD#: 13787
MARBLEHEAD, MA
Past

March 25, 2005 - September 27, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
CAMBRIDGE, MA
Past

October 20, 2004 - September 27, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BOSTON, MA
Past

May 12, 2003 - October 20, 2004

QUICK & REILLY, INC.

BD
CRD#: 11217
NEW YORK, NY
Past

November 29, 2001 - May 12, 2003

IFMG SECURITIES, INC.

BD
CRD#: 14416
PURCHASE, NY
Past

June 8, 2000 - October 9, 2001

CONSECO SECURITIES, INC.

BD
CRD#: 29367
CARMEL, IN
Past

July 15, 1999 - August 24, 2000

BOFA DISTRIBUTORS, INC.

BD
CRD#: 30683
BOSTON, MA
Past

November 8, 1994 - July 15, 1999

KEYPORT FINANCIAL SERVICES CORP.

BD
CRD#: 8127
WELLESLEY HILLS, MA

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
IAR
Series 65
Date: 9/16/2004
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/15/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/17/2003
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/7/1994
Investment Company Products/Variable Contracts Representative Examination

Current Firm

IB
INDEPENDENT BROKERAGE SOLUTIONS LLC
INDEPENDENT BROKERAGE SOLUTIONS LLC | SDDCO BROKERAGE ADVISORS LLC

CRD#: 153563 / SEC#: , 8-68549

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
485 Madison Avenue 15th Floor, New York, NY 10022
Mailing Address
485 Madison Avenue 15th Floor, New York, NY 10022
Phone number
(212) 751-4424
Established
New York since 12/21/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DFP PARTNERS CPA, P.C.MEMBER
FORTINO, ANGELINAFINOP/ PFO/CFO6869135
STEINBERG, MICHAEL NMNCEO/CCO1062776

Disclosures

Regulatory Event1

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.

Company Information

INDEPENDENT BROKERAGE SOLUTIONS LLC

CRD#: 153563

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