Daniel F. Tanner
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 Franklin Tanner, CFP®, who also goes by Dan Tanner, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1998. Daniel had worked at 5 firms and has passed the Series 66, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2010
Experience
June 3, 2014 - February 2, 2015
RESOURCE PLANNING GROUP, LTD.
October 6, 2011 - May 16, 2014
OSAIC FA, INC.
September 23, 2011 - May 16, 2014
OSAIC FA, INC.
October 29, 2008 - October 11, 2011
1ST GLOBAL ADVISORS INC
October 6, 2008 - October 11, 2011
1ST GLOBAL CAPITAL CORP.
December 3, 1998 - July 13, 1999
TRUIST INVESTMENT SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
RESOURCE PLANNING GROUP, LTD.
CRD#: 111524 / SEC#: 801-43321
Contact information
Regulatory assets under management
| Total Number of Accounts | 978 |
| AUM (Assets Under Management) | $ 278,825,194 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2023 | ||
| 12/22/2021 |
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.
