DC
Daniel D. Claffey
EDMD FINANCIAL STRATEGIES
San Ramon, CA 94583
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CRD#: 2646620
DC
Professional summary
Daniel David Claffey is a registered financial advisor currently at EDMD FINANCIAL STRATEGIES, LLC located in San Ramon, California.
Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Daniel has worked at 8 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 7, Series 6 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.
1)EDMD-OWNER. 2603 CAMINO RAMON, SUITE 200, SAN RAMON, CA 94583. START DATE 12/04, NOT INVESTMENT RELATED. EDMD HELPS FAMILIES WITH EDUCATION FUNDING STRATEGIES. WE ACCOMPLISH THIS BY HELPING FAMILIES UNDERSTAND THE FINANCIAL AID PROCESS AND ASSIST THEM WITH COMPLETING THE NECESSARY COLLEGE FORMS. TAX PREPARATION SERVICES ALSO AVAILABLE. ON AVERAGE I SPEND 10-15 HOURS A WEEK IN THIS BUSINESS.2)EDMD FINANCIAL STRATEGIES, LLC; START 3-1-2010; 2603 CAMINO RAMON #200, SAN RAMON, CA 94583, INDEPENDENT REGISTERED INVESTMENT ADVISOR. 80HRS/MON WITH 20 HRS/MON DURING TRADING HRS. FINANCIAL PLANNING AND ASSET MANAGEMENT.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel David Claffey'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®
NoneExperience
Current
February 1, 2011 - Present
EDMD FINANCIAL STRATEGIES, LLC
Office #1: 6101 Bollinger Canyon Rd Suite 328, San Ramon, CA 94583RIA
CRD#: 153242
San Ramon, CA
Past
May 11, 2010 - December 31, 2010
EDMD FINANCIAL STRATEGIES, LLC
RIA
CRD#: 153242
SAN RAMON, CA
Past
February 22, 2005 - December 31, 2020
AMERICAN INVESTORS COMPANY
BD
CRD#: 38
SAN RAMON, CA
Past
March 15, 2001 - August 16, 2004
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
BD
CRD#: 332
SAN MATEO, CA
Past
April 17, 2000 - October 19, 2000
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
Past
April 6, 1998 - April 17, 2000
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
April 10, 1997 - March 4, 1998
WALL STREET FINANCIAL GROUP, INC.
BD
CRD#: 35830
VICTOR, NY
Past
December 19, 1996 - April 1, 1997
CENTAURUS FINANCIAL, INC.
BD
CRD#: 30833
ANAHEIM, CA
Past
December 1, 1995 - November 18, 1996
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
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(2/1/2011)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/31/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
EF
EDMD FINANCIAL STRATEGIES, LLC
EDMD FINANCIAL STRATEGIES, LLC
CRD#: 153242 / SEC#: 801-71233
RIA
Registered Investment Advisory firm - (9/1/2010 Terminated)California
Registered Investment Advisory firm - (8/24/2010 Approved)Texas
Registered Investment Advisory firm - (12/31/2014 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
6101 Bollinger Canyon Rd Suite 328, San Ramon, CA 94583
Mailing Address
Phone number
(925) 804-6820
Established
Firm type
Fiscal year end
# of Employees
1
Regulatory assets under management
| Total Number of Accounts | 75 |
| AUM (Assets Under Management) | $ 2,500,000 |
Exempt reporting advisers
Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| Arizona | ERA - Withdrawn | 9/8/2020 |
| New York | ERA - Withdrawn | 7/31/2019 |
| Ohio | ERA - Withdrawn | 7/31/2019 |
| Texas | ERA - Withdrawn | 7/31/2019 |
| Washington | ERA - Withdrawn | 7/31/2019 |
Red Flags
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Company Information
EDMD FINANCIAL STRATEGIES, LLC
CRD#: 153242San Ramon, CA 94583TRUST BUT VERIFY
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