Brian C. Doak
HIGHPOINT PLANNING PARTNERS
Arcadia, IN
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CRD#: 4495258
Professional summary
Brian Christopher Doak, CFP®, who also goes by Brian Christopher Daok, is a registered financial advisor currently at HIGHPOINT PLANNING PARTNERS located in Arcadia, Indiana and LPL FINANCIAL LLC located in Arcadia, Indiana.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Brian has worked at 7 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
What are your service offerings?
Employee and Employer Plan Ben...
Investment Planning
Comprehensive Financial Planni...
Insurance Planning
Tax Planning
Retirement Planning
Retirement Income Management
Long-term Care
Estate Planning
What is your minimum asset requirement?
1
Are you a "fiduciary"?
Yes
Aliases
Brian Christopher Daok
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. 02/05/2016 - HighPoint Planning Partner/ DBA for LPL Business (entity for LPL business)/ 0%/ DOWNERS GROVE, IL 2. 02/05/2016 - Pinnacle Insurance Consulting Group, LLC/ Non-Variable Insurance/ 10%/ INDIANAPOLIS, IN 3. 02/05/2016 - OnPath Financial/ DBA for LPL Business (entity for LPL business)/ 85%/ ST. CHARLES, IL. 4. 2/18/2016: Highpoint Advisor Group, LLC - DBA: OnPath Financial, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - 8 Hours Per Month - Time Spent 5% - IAR. 5. 2/25/2016: HighPoint Advisor Group, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - 8 Hours Per Month - Time Spent 5% - IAR. 6. 03/03/2016 - Doak Financial - INV REL - 3815 River Crossing Parkway, Suite 100 Indianapolis, IN 46240 - DBA for LPL Business (entity for LPL business) - 85% TIME SPENT 7. 05/05/2016 * CPS - Pinnacle Insurance Group * Non-Variable Insurance * inv rel * at reported business location(s) * a. Insurance Specialist - helping insurance producers with case design, facilitation and closing of business b. CPS - Pinnacle Insurance Group * start 02/05/2016 * 40 hrs/mo; 20 hrs. during secs trdg hrs. 8. 3/9/2017 - HighPoint Advisor Group, LLC - DBA: Doak Financial, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 02/02/2016 - 160 Hours Per Month/140 Hours During Securities Trading - I provide investment advisory services through Highpoint Advisor Group, LLC,, an independent investment advisor firm. I started this business activity in Febuary 2017. I expect to spend approximately 160 hours a month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 9. 09/11/2024 - Doak Farms, LLC - Business Entity For Tax/Investment Purposes Only - Not Investment Related - At Reported Business Location(s) - Start Date 01/01/2024 - 1 Hour Per Month/ 0 Hours During Trading
CRS (Client Relationship Summary) - RIA
Click below to view Brian Christopher Doak'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
December 8, 2021 - Present
HIGHPOINT PLANNING PARTNERS
RIA
CRD#: 316636
Arcadia, IN
Current
February 5, 2016 - Present
LPL FINANCIAL LLC
RIA
BD
CRD#: 6413
ARCADIA, IN
Past
February 17, 2016 - December 31, 2021
HIGHPOINT PLANNING PARTNERS
RIA
CRD#: 163768
Noblesville, IN
Past
August 11, 2015 - February 18, 2016
SANCTUARY ADVISORS, LLC
RIA
CRD#: 226606
CHICAGO, IL
Past
March 20, 2009 - August 11, 2015
SANCTUARY SECURITIES, INC.
RIA
CRD#: 205
INDIANAPOLIS, IN
Past
March 20, 2009 - February 18, 2016
SANCTUARY SECURITIES, INC.
BD
CRD#: 205
INDIANAPOLIS, IN
Past
September 14, 2007 - March 23, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
INDIANAPOLIS, IN
Past
September 14, 2007 - March 23, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
INDIANAPOLIS, IN
Past
May 23, 2002 - September 19, 2007
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
INDIANAPOLIS, IN
Past
March 14, 2002 - September 19, 2007
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
INDIANAPOLIS, IN
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".
HP
HIGHPOINT PLANNING PARTNERS
ASPIRE DIVORCE SOLUTIONS, LLC | VERTEX PLANNING PARTNERS, LLC | VANTAGE FINANCIAL | VANDERVOORN & ASSOC | TWG WEALTH PLANNING | TWG BENEFITS | TOMORROW'S WEALTH PLANNING | THE ASSOCIATES GROUP | STONEBRIDGE WEALTH ADVISORS | SHAMROCK FINANCIAL PLANNING | SANSONE & ASSOCIATES, P.C. | SAFE HARBOR RETIREMENT CONSULTANTS, LLC | SA PIGGUSH BUSINESS & RETIREMENT PLANNING | RSM FINANCIAL SOLUTIONS | ROUND HILL WEALTH MANAGEMENT | ROGER J. ENSMINGER & ASSOCIATES | R. KNAPP FINANCIAL INC | PROFESSIONAL WEALTH ADVISORS LLC | PARTNERS ADVISORS LTD. | ONPATH FINANCIAL, LLC | MIKE LYNCH, INC. | MIDWEST FAMILY WEALTH MANAGEMENT | MCCABE FINANCIAL GROUP | LPL FINANCIAL | LLOYD WEALTH ADVISORS | KENNEDY FINANCIAL GROUP | KELLER PETERSON WEALTH ADVISORS, LLC | KEITH E. MURPHY | J. KAHN & ASSOCIATES LLC | INTRINSIC WEALTH MANAGEMENT | INDIGO WEALTH ADVISORS | HIGHPOINT PLANNING PARTNERS | HIGHPOINT ADVISOR GROUP, LLC | HIGHPOINT ADVISOR GROUP | G/R WEALTH MANAGEMENT GROUP LLC | FRICK INVESTMENT GROUP | FINANCIAL PLANNING FOR GENERATION X | EQUILIBRIUM WEALTH MANAGEMENT | ELEVATION WEALTH MANAGEMENT | EINSPAR FAMILY FINANCIAL | EBERLIN FINANCIAL SERVICES | DOAK FINANCIAL, LLC | CORE WEALTH PLANNING | CHASE ENTERPRISES FINANCIAL | CB3 FINANCIAL GROUP INC. | BLACK DIAMOND PLANNERS | BENEFIT PARTNERS FINANCIAL GROUP | ASPIRE PLANNING GROUP LLC
CRD#: 316636 / SEC#: 801-122583
RIA
Registered Investment Advisory firm - (10/29/2021 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
Alabama(10/28/2024)
RR
Florida(2/5/2016)
RR
Illinois(2/5/2016)
RR
Indiana(2/5/2016)
IAR
Indiana(12/8/2021)
RR
Kentucky(2/5/2016)
RR
Michigan(2/5/2016)
RR
Missouri(2/3/2023)
RR
New York(2/5/2016)
RR
North Carolina(9/5/2023)
RR
Pennsylvania(2/5/2016)
RR
South Carolina(8/2/2021)
RR
Texas(2/3/2023)
IAR
Texas(3/8/2023)
RR
Washington(8/7/2018)
RR
Wisconsin(2/5/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
HP
HIGHPOINT PLANNING PARTNERS
ASPIRE DIVORCE SOLUTIONS, LLC | VERTEX PLANNING PARTNERS, LLC | VANTAGE FINANCIAL | VANDERVOORN & ASSOC | TWG WEALTH PLANNING | TWG BENEFITS | TOMORROW'S WEALTH PLANNING | THE ASSOCIATES GROUP | STONEBRIDGE WEALTH ADVISORS | SHAMROCK FINANCIAL PLANNING | SANSONE & ASSOCIATES, P.C. | SAFE HARBOR RETIREMENT CONSULTANTS, LLC | SA PIGGUSH BUSINESS & RETIREMENT PLANNING | RSM FINANCIAL SOLUTIONS | ROUND HILL WEALTH MANAGEMENT | ROGER J. ENSMINGER & ASSOCIATES | R. KNAPP FINANCIAL INC | PROFESSIONAL WEALTH ADVISORS LLC | PARTNERS ADVISORS LTD. | ONPATH FINANCIAL, LLC | MIKE LYNCH, INC. | MIDWEST FAMILY WEALTH MANAGEMENT | MCCABE FINANCIAL GROUP | LPL FINANCIAL | LLOYD WEALTH ADVISORS | KENNEDY FINANCIAL GROUP | KELLER PETERSON WEALTH ADVISORS, LLC | KEITH E. MURPHY | J. KAHN & ASSOCIATES LLC | INTRINSIC WEALTH MANAGEMENT | INDIGO WEALTH ADVISORS | HIGHPOINT PLANNING PARTNERS | HIGHPOINT ADVISOR GROUP, LLC | HIGHPOINT ADVISOR GROUP | G/R WEALTH MANAGEMENT GROUP LLC | FRICK INVESTMENT GROUP | FINANCIAL PLANNING FOR GENERATION X | EQUILIBRIUM WEALTH MANAGEMENT | ELEVATION WEALTH MANAGEMENT | EINSPAR FAMILY FINANCIAL | EBERLIN FINANCIAL SERVICES | DOAK FINANCIAL, LLC | CORE WEALTH PLANNING | CHASE ENTERPRISES FINANCIAL | CB3 FINANCIAL GROUP INC. | BLACK DIAMOND PLANNERS | BENEFIT PARTNERS FINANCIAL GROUP | ASPIRE PLANNING GROUP LLC
CRD#: 316636 / SEC#: 801-122583
RIA
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Contact information
Main Address
2651 Warrenville Road Suite 200, Downers Grove, IL 60515
Mailing Address
Phone number
(630) 719-9222
Established
Firm type
Fiscal year end
# of Employees
104
SEC notice filing (46 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13,813 |
| AUM (Assets Under Management) | $ 3,999,000,000 |
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.
