DC
Daniel F. Casey
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
Westlake Village, CA 91361
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CRD#: 3244019
DC
Professional summary
Daniel Francis Casey, CFP® is a registered financial advisor currently at UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER located in Westlake Village, California and CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Westlake Village, California.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Daniel has worked at 5 firms and has passed the Series 65, Series 63, SIE 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.
1) DANIEL CASEY, 32776 Barrett Dr, Westlake Village CA 91361, United States, START DATE 04/2014, W2 Employee, Author/Educator/Podcast/Speaker, NIR, 20 HR/MO, 5 HR/MO TRADING 2) DANIEL CASEY, Moorpark Active Adult Ctr, 799 Moorpark Ave., Moorpark CA 93021, United States, START DATE 04/2014, Tax Preparation for seniors through AARP, Volunteer, NIR, 5 HR/MO, 5 HR/MO TRADING 3) WESTLAKE FINANCIAL ADVISORS, 890 Hampshire Road Suite W, Westlake Village CA 91361, United States, START DATE 03/2017, DBA, DBA Name, NIR, 0 HR/MO, 0 HR/MO TRADING 4) TEACH CFP COURSES AT UCLA EXTENSION, 32776 Barrett Dr, Westlake Village CA 91361, United States, START DATE 04/2014, Instructor, Author/Educator/Podcast/Speaker, NIR, 20 HR/MO, 5 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Francis Casey'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: 2000
Experience
Current
November 15, 2013 - Present
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
Office #1: 890 Hampshire Rd Ste W, Westlake Village, CA 91361RIA
BD
CRD#: 20804
Westlake Village, CA
Current
October 23, 2025 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 890 Hampshire Rd. Ste. W, Westlake Village, CA 91361RIA
CRD#: 134139
Westlake Village, CA
Current
November 15, 2013 - Present
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
Office #1: 890 Hampshire Rd Ste W, Westlake Village, CA 91361RIA
BD
CRD#: 20804
Westlake Village, CA
Current
October 23, 2025 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 890 Hampshire Rd. Ste. W, Westlake Village, CA 91361BD
CRD#: 39543
Westlake Village, CA
Past
June 14, 2012 - May 14, 2015
WESTLAKE FINANCIAL ADVISORS LLC
RIA
CRD#: 140667
WESTLAKE VILLAGE, CA
Past
September 2, 1999 - November 18, 2013
FINANCIAL WEST GROUP
RIA
CRD#: 16668
WESTLAKE VILLAGE, CA
Past
June 21, 1999 - November 18, 2013
FINANCIAL WEST GROUP
BD
CRD#: 16668
WESTLAKE VILLAGE, CA
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".
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 Approved)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.RR
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
RR
California(11/15/2013)
IAR
California(11/15/2013)
RR
Florida(12/12/2013)
RR
Georgia(11/12/2015)
RR
Idaho(1/7/2019)
RR
Indiana(1/29/2021)
RR
Maryland(12/12/2013)
RR
Nevada(12/19/2013)
RR
New York(1/3/2014)
RR
Tennessee(10/23/2025)
RR
Texas(11/15/2013)
IAR
Texas(11/15/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Mailing Address
Phone number
(641) 472-5100
Established
Firm type
Fiscal year end
# of Employees
3,361
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Westlake Village, CA 91361TRUST BUT VERIFY
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