Daniel Dean Brummel
CFP®Professional Summary
Daniel Dean Brummel, CFP® is a registered financial advisor currently at BFC PLANNING, INC. located in Pleasant Hill, Iowa and SECURITIES MANAGEMENT & RESEARCH, INC. located in Pleasant Hill, Iowa. Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Daniel has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Credentials
Years of Experience
21 years in the financial services industry
Current & Past Employments
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Current Firm
1ST & MAIN INVESTMENT ADVISORS - ADVISORY SERVICES OFFERED THROUGH BFC PLANNING, INC. | GREAT LAKES BAY FINANCIAL | BFC PLANNING, INC. | BERTHEL FISHER & COMPANY PLANNING, INC. | BEDROCK INVESTMENT ADVISORS, LLC
Contact Information
Main Address
4201 42nd Street Ne Suite 100, Cedar Rapids, IA 52402Phone Number
(319) 447-5700# of Employees
200SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
13,174AUM (Assets Under Management)
$3,841,196,599Similar Advisors
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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.
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PRINCIPAL SECURITIES, INC.
Primary Firm SEC Registration
1ST & MAIN INVESTMENT ADVISORS - ADVISORY SERVICES OFFERED THROUGH BFC PLANNING, INC. | GREAT LAKES BAY FINANCIAL | BFC PLANNING, INC. | BERTHEL FISHER & COMPANY PLANNING, INC. | BEDROCK INVESTMENT ADVISORS, LLC
State Registrations and Notice Filings
(8/29/2019)
(1/2/2019)
(1/2/2019)
(8/29/2019)
(1/2/2019)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Oct 2005About the Series 6 examSRO Registrations
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PRINCIPAL SECURITIES, INC.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Dean Brummel's CRS (Customer Relationship Summary).
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PRINCIPAL SECURITIES, INC.
