DP
Daniel E. Plagens
STEVENS FOSTER FINANCIAL ADVISORS
Bloomington, MN 55431
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CRD#: 5104957
DP
Professional summary
Daniel Eaton Plagens is a registered financial advisor currently at STEVENS FOSTER FINANCIAL ADVISORS located in Bloomington, Minnesota.
Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Daniel has worked at 5 firms and has passed the Series 65, Series 66, Series 63 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.
MINNESOTA LIFE AND HEALTH INSURANCE LICENSE IS MAINTAINED FOR SERVICE ONLY AND INDIVIDUAL IS NOT RECEIVING ANY COMMISSIONS.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Eaton Plagens'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®
NoneExperience
Current
July 21, 2014 - Present
STEVENS FOSTER FINANCIAL ADVISORS
Office #1: 7900 Xerxes Avenue South Suite 1800, Bloomington, MN 55431RIA
CRD#: 115752
Bloomington, MN
Past
January 21, 2014 - July 7, 2014
LPL FINANCIAL LLC
RIA
CRD#: 6413
BLOOMINGTON, MN
Past
May 19, 2011 - July 7, 2014
LPL FINANCIAL LLC
BD
CRD#: 6413
BLOOMINGTON, MN
Past
May 27, 2009 - April 22, 2010
FIRST COMMAND BROKERAGE SERVICES, INC.
RIA
CRD#: 3641
BLOOMINGTON, MN
Past
May 27, 2009 - April 22, 2010
FIRST COMMAND BROKERAGE SERVICES, INC.
BD
CRD#: 3641
BLOOMINGTON, MN
Past
January 1, 2007 - February 11, 2009
RIVERSOURCE DISTRIBUTORS, INC.
BD
CRD#: 139135
MINNEAPOLIS, MN
Past
April 26, 2006 - January 1, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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".
SF
STEVENS FOSTER FINANCIAL ADVISORS
STEVENS FOSTER FINANCIAL ADVISORS | STEVENS, FOSTER FINANCIAL SERVICES, INC.
CRD#: 115752 / SEC#: 801-80128
RIA
Registered Investment Advisory firm - (8/7/2014 Approved)Arizona
Registered Investment Advisory firm - (12/31/2005 Terminated)California
Registered Investment Advisory firm - (9/12/2014 Terminated)Florida
Registered Investment Advisory firm - (8/13/2014 Terminated)Illinois
Registered Investment Advisory firm - (12/31/2001 Terminated)Minnesota
Registered Investment Advisory firm - (9/17/2014 Terminated)Texas
Registered Investment Advisory firm - (8/13/2014 Terminated)Wisconsin
Registered Investment Advisory firm - (8/13/2014 Terminated)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.Highlighted states indicate IAR registrations
IAR
Minnesota(7/21/2014)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
SF
STEVENS FOSTER FINANCIAL ADVISORS
STEVENS FOSTER FINANCIAL ADVISORS | STEVENS, FOSTER FINANCIAL SERVICES, INC.
CRD#: 115752 / SEC#: 801-80128
RIA
Registered Investment Advisory firm - (8/7/2014 Approved)Arizona
Registered Investment Advisory firm - (12/31/2005 Terminated)California
Registered Investment Advisory firm - (9/12/2014 Terminated)Florida
Registered Investment Advisory firm - (8/13/2014 Terminated)Illinois
Registered Investment Advisory firm - (12/31/2001 Terminated)Minnesota
Registered Investment Advisory firm - (9/17/2014 Terminated)Texas
Registered Investment Advisory firm - (8/13/2014 Terminated)Wisconsin
Registered Investment Advisory firm - (8/13/2014 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
7900 Xerxes Avenue South Suite 1800, Bloomington, MN 55431
Mailing Address
Phone number
(952) 843-4200
Established
Firm type
Fiscal year end
# of Employees
20
SEC notice filing (8 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,019 |
| AUM (Assets Under Management) | $ 660,761,100 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/18/2024 | ||
| 10/27/2023 | ||
| 01/23/2023 |
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.
