DG
Daniel A. Garfin
KESTRA ADVISORY SERVICES
Orinda, CA
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CRD#: 4662126
DG
Professional summary
Daniel Alan Garfin, ChFC®, CLU® is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Orinda, California and KESTRA INVESTMENT SERVICES, LLC located in Pleasant Hill, California.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Daniel has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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.
Business Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Investment Advisor Representative Start Date: 4/4/2016 Hours per month: Up to 100% (0 to 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory services Business Name: Daniel Alan Garfin Investment Related: No Address: 933 Talbot Avenue Albany CA 94706 Nature of Business: Real Estate Position, Title or Relationship: Property owner and landlord Start Date: 1/1/2014 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Administration is handled by a property manager. Business Name: NFPCA INSURANCE SERVICES INC POSITION: Employee NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 132 START DATE: 07/06/2005 ADDRESS: 2300 Contra Costa Blvd., Suite 600, Pleasant Hill CA 94523 DESCRIPTION: Sales & support of corporate benefits and retirement plans
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Alan Garfin'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®
Experience
Current
April 18, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
Office #2: 2300 Contra Costa Blvd Suite 600, Pleasant Hill, CA 94596RIA
CRD#: 283330
Orinda, CA
Current
August 29, 2005 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 2300 Contra Costa Blvd Suite 600, Pleasant Hill, CA 94596BD
CRD#: 42046
Pleasant Hill, CA
Past
August 29, 2005 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
ORINDA, CA
Past
July 8, 2005 - September 9, 2005
BRECEK & YOUNG ADVISORS, INC.
RIA
CRD#: 40395
ALBANY, CA
Past
October 25, 2004 - September 9, 2005
BRECEK & YOUNG ADVISORS, INC.
BD
CRD#: 40395
FOLSOM, CA
Past
June 18, 2003 - October 22, 2004
M HOLDINGS SECURITIES, INC.
BD
CRD#: 43285
PORTLAND, OR
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 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(8/29/2005)
IAR
California(4/18/2016)
RR
Florida(12/14/2007)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
