Daniel P. Forbes
FORBES FINANCIAL PLANNING
East Greenwich, RI 02818
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CRD#: 3055207
Professional summary
Daniel Patrick Forbes, CFP® is a registered financial advisor currently at FORBES FINANCIAL PLANNING, INC. located in East Greenwich, Rhode Island.
Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Daniel has worked at 4 firms and has passed the Series 63, Series 65, Series 6 and Series 7 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.
Mr. Forbes is also the Lead Investor for "I Got It Holdings Corp.", a corporation organized in the state of Delaware. As the Lead Investor Mr. Forbes, is responsible for directing the vote of all investors on Wefunder Portal LLC1. *the name of the other business; I Got It Holdings Corp. *whether the business is investment-related; Yes *the address of the other business; 400 Crossing Boulevard, 6th Floor Bridgewater, NJ 08807 *the nature of the other business; your position; Lead Investor *title, or relationship with the other business; Lead Investor *the start date of your relationship; Initial purchase was 11/3/2020 *the approximate number of hours/month you devote to the other business; Half hour ZOOM update every month *the number of hours you devote to the other business during securities trading hours; Zero *briefly describe your duties relating to the other business; Responsible for directing the vote of all investors on Wefunder Portal LLC1 While I'm still listed as Lead Investor, this offer is closed. I Got It is raising additional funds directly *the name of the other business; Member of the Board of Directors *whether the business is investment-related - No *the address of the other business - 1 Home Loan Plaza, Warwick, RI 02886 *the nature of the other business; home loan investment bank *your position; title, or relationship with the other business; Member of the Board of Directors *the start date of your relationship; April 29, 2022 *the approximate number of hours/month you devote to the other business; 6 *the number of hours you devote to the other business during securities trading hours; 2 *and briefly describe your duties relating to the other business; Attend and participate in quarterly meetings of the Board of Directors
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Patrick Forbes'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®
Start date: 2007
Experience
Current
November 5, 2009 - Present
FORBES FINANCIAL PLANNING, INC.
Office #1: 660 Main Street Unit C-3, East Greenwich, RI 02818RIA
CRD#: 143912
East Greenwich, RI
Past
December 17, 2007 - April 8, 2008
EAGLE STRATEGIES LLC
RIA
CRD#: 110826
PROVIDENCE, RI
Past
October 2, 2007 - August 20, 2008
NYLIFE SECURITIES LLC
BD
CRD#: 5167
PROVIDENCE, RI
Past
May 14, 1998 - January 21, 2000
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
WALTHAM, MA
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".
FF
FORBES FINANCIAL PLANNING, INC.
FORBES FINANCIAL PLANNING, INC.
CRD#: 143912 / SEC#: 801-117958
RIA
Registered Investment Advisory firm - (1/21/2020 Approved)Florida
Registered Investment Advisory firm - (1/23/2020 Terminated)Massachusetts
Registered Investment Advisory firm - (1/23/2020 Terminated)Rhode Island
Registered Investment Advisory firm - (1/23/2020 Terminated)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
Rhode Island(11/5/2009)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
FF
FORBES FINANCIAL PLANNING, INC.
FORBES FINANCIAL PLANNING, INC.
CRD#: 143912 / SEC#: 801-117958
RIA
Registered Investment Advisory firm - (1/21/2020 Approved)Florida
Registered Investment Advisory firm - (1/23/2020 Terminated)Massachusetts
Registered Investment Advisory firm - (1/23/2020 Terminated)Rhode Island
Registered Investment Advisory firm - (1/23/2020 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
660 Main Street Unit C-3, East Greenwich, RI 02818
Mailing Address
Phone number
(401) 885-7300
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 867 |
| AUM (Assets Under Management) | $ 195,512,970 |
Red Flags
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Company Information
FORBES FINANCIAL PLANNING, INC.
CRD#: 143912East Greenwich, RI 02818TRUST BUT VERIFY
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