Daniel M. Makin

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CRD#: 4367894

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 Malcolm Makin, CFP®, CIMA® was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 2001. Daniel had worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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) Name of Business: Professional Planning Group Address: 9 Granite St, Westerly, RI, 02891-2207, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 12/03/2000 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: trading client service reviews (2) Name of Business: Wood River Health Services Address: 823 Main Street, Hope Valley, RI, 02832, United States Activity Type: Nonprofit Position/Title: Board Member, Finance/Investment Committee Member, Executive Member, Committee Member Investment Related: Yes Start Date: 03/25/2010 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: I am a member of the Board of Directors, the finance committee and the executive committee. I do not do any fund raising and simply assist with the oversight of the facility to ensure that it continues to stay in business and work towards the mission of health care for anyone that needs it.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

CIMA^®

Certified Investment Management Analyst

Experience

Past

February 25, 2005 - October 2, 2025

PROFESSIONAL PLANNING GROUP

RIA

CRD#: 108868

WESTERLY, RI

Past

July 29, 2003 - March 1, 2005

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

WESTERLY, RI

Past

March 21, 2001 - September 30, 2025

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

WESTERLY, RI

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".

PROFESSIONAL PLANNING GROUP

NEW ENGLAND PROFESSIONAL PLANNING GROUP INC | PROFESSIONAL PLANNING GROUP | NEW ENGLAND PROFESSIONAL PLANNING GROUP INC.

CRD#: 108868 / SEC#: 801-15330

RIA

Registered Investment Advisory firm - (7/18/1980 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/18/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/2/2001

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: 3/20/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 51

Date: 10/19/2005

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 7/7/2005

General Securities Principal Examination

Current Firm

PROFESSIONAL PLANNING GROUP

NEW ENGLAND PROFESSIONAL PLANNING GROUP INC | PROFESSIONAL PLANNING GROUP | NEW ENGLAND PROFESSIONAL PLANNING GROUP INC.

CRD#: 108868 / SEC#: 801-15330

RIA

Registered Investment Advisory firm - (7/18/1980 Approved)

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Contact information

Main Address

9 Granite Street, Westerly, RI 02891

Mailing Address

Phone number

(401) 596-2800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

10 16 2025 PPG FORM ADV PART 2A FINAL (10/16/2025)

Regulatory assets under management

Total Number of Accounts	2,354
AUM (Assets Under Management)	$ 1,166,383,072

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.

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Advisor Monitoring

Firm Stability Insights

Daniel M. Makin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

PROFESSIONAL PLANNING GROUP

State Registrations and Notice Filings

Exams

Series 65

Date: 7/18/2003

Series 63

Date: 4/2/2001

SIE

Date: 10/1/2018

Series 7

Date: 3/20/2001

Series 51

Date: 10/19/2005

Series 24

Date: 7/7/2005

Current Firm

PROFESSIONAL PLANNING GROUP

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROFESSIONAL PLANNING GROUP

TRUST BUT VERIFY

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