Donald R. Clephane

DIVERSIFIED PLANNING CONCEPTS

CORTE MADERA, CA 94925

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CRD#: 2693579

Professional summary

Donald Ray Clephane, CFP® is a registered financial advisor currently at DIVERSIFIED PLANNING CONCEPTS, INC. located in Corte Madera, California and OAK TREE SECURITIES, INC. located in Honolulu, Hawaii.

Donald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Donald has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

What are your service offerings?

Comprehensive Financial Planni...

Employee and Employer Plan Ben...

Insurance Planning

Education Planning

Estate Planning

Retirement Planning

Investment Planning

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.

SELLS INSURANCE PRODUCTS. CFP OFFERING ESTATE PLANNING. Started OBA in Jan 2004. Hours can vary throughout the year. REGISTERED WITH DIVERSIFIED PLANNING CONCEPTS (RIA) All three OBA's are conducted at the branch office address listed with FINRA and are investment related.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Donald Ray Clephane'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®

CFP^®

Certified Financial Planner

Start date: 2004

Experience

Current

April 27, 2005 - Present

DIVERSIFIED PLANNING CONCEPTS, INC.

Office #1: Diversified Planning Concepts, Inc., Corte Madera, CA 94925

RIA

CRD#: 112229

CORTE MADERA, CA

Current

February 20, 2009 - Present

OAK TREE SECURITIES, INC.

Office #1: 900 Fort Street Mall Suite 965, Honolulu, HI 96813

RIA

CRD#: 18126

Honolulu, HI

Current

September 19, 2001 - Present

OAK TREE SECURITIES, INC.

Office #1: 900 Fort Street Mall Suite 965, Honolulu, HI 96813

RIA

CRD#: 18126

Honolulu, HI

Past

January 31, 1997 - September 19, 2001

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

January 31, 1996 - January 31, 1997

KEOGLER, MORGAN & COMPANY, INC.

CRD#: 16546

ATLANTA, 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(9/19/2001)

IAR

California
(4/27/2005)

Hawaii
(9/19/2001)

IAR

Hawaii
(1/20/2009)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/11/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/6/1996

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: 10/20/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/6/1996

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/25/2001

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

DIVERSIFIED PLANNING CONCEPTS, INC.

DIVERSFIED PLANNING CONCEPTS, INC | DIVERSIFIED PLANNING CONCEPTS,INC | DIVERSIFIED PLANNING CONCEPTS, INC.

CRD#: 112229 / SEC#: 801-27279

RIA

Registered Investment Advisory firm - (5/17/2005 Terminated)

California

Registered Investment Advisory firm - (4/27/2005 Approved)

Connecticut

Registered Investment Advisory firm - (12/31/2009 Terminated)

Hawaii

Registered Investment Advisory firm - (4/26/2005 Approved)

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).

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Contact information

Main Address

Corte Madera, CA

Mailing Address

145 Corte Madera Town Center Suite 655, Corte Madera, CA 94925

Phone number

(415) 891-8504

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	36
AUM (Assets Under Management)	$ 44,345,891

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Donald R. Clephane

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Donald Ray Clephane's CRS (Customer Relationship Summary).

Certified licenses

Experience

OAK TREE SECURITIES, INC.

OAK TREE SECURITIES, INC.

OSAIC WEALTH, INC.

KEOGLER, MORGAN & COMPANY, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/11/2002

Series 63

Date: 1/6/1996

SIE

Date: 10/1/2018

Series 7

Date: 10/20/1997

Series 6

Date: 1/6/1996

Series 24

Date: 7/25/2001

FINRA

Current Firm

DIVERSIFIED PLANNING CONCEPTS, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

DIVERSIFIED PLANNING CONCEPTS, INC.

TRUST BUT VERIFY

Contact information

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