Douglas A. Kartsen

DAK FINANCIAL SERVICES

Avon, CT

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CRD#: 5150347

Professional summary

Douglas A Kartsen, CFA is a registered financial advisor currently at DAK FINANCIAL SERVICES, LLC located in Avon, Connecticut.

Douglas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Douglas has worked at 5 firms and has passed the Series 63, SIE 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.

04/2016 - SOLE PROPRIETOR INSURANCE AGENT - FIXED INSURANCE, FIXED ANNUITIES, TERM, LTC, DISABILITY, HEALTH AND DENTAL

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas A Kartsen'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®

CRD#: 6413

AVON, CT

Past

October 23, 2006 - December 2, 2010

EDWARD JONES

RIA

CRD#: 250

FARMINGTON, CT

Past

July 26, 2006 - December 2, 2010

EDWARD JONES

CRD#: 250

FARMINGTON, CT

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

Connecticut
(5/24/2016)

IAR

Massachusetts
(3/4/2022)

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

Series 63

Date: 7/28/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/21/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/25/2006

General Securities Representative Examination

Current Firm

DAK FINANCIAL SERVICES, LLC

CRD#: 283747 / SEC#:

Connecticut

Registered Investment Advisory firm - (5/24/2016 Approved)

Massachusetts

Registered Investment Advisory firm - (3/4/2022 Approved)

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Contact information

Main Address

Chester, CT

Mailing Address

Phone number

(860) 269-8130

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	64
AUM (Assets Under Management)	$ 43,294,257

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Douglas A. Kartsen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas A Kartsen's CRS (Customer Relationship Summary).

Certified licenses

Experience

DAK FINANCIAL SERVICES, LLC

NORTHSTAR WEALTH PARTNERS LLC

LPL FINANCIAL LLC

STRATOS WEALTH PARTNERS, LTD

LPL FINANCIAL LLC

EDWARD JONES

EDWARD JONES

State Registrations and Notice Filings

Exams

Series 63

Date: 7/28/2006

SIE

Date: 4/21/2016

Series 7

Date: 7/25/2006

Current Firm

DAK FINANCIAL SERVICES, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

DAK FINANCIAL SERVICES, LLC

TRUST BUT VERIFY

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