CB
Candace Brown
DAI WEALTH
Atlanta, GA 30345
Some features on this profile are disabled
CRD#: 5164122
CB
Professional summary
Candace Brown is a registered financial advisor currently at DAI WEALTH, LLC located in Atlanta, Georgia and DAI SECURITIES, LLC located in Atlanta, Georgia.
Candace is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Candace has worked at 4 firms and has passed the Series 66, SIE, Series 7, Series 99, Series 27 and Series 24 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.
Firas Capital Group, LLC, Non-Investment Related, Conducted from 7901 4th St N Ste 4246, St. Petersburg, FL 33702. The nature of the Outside Business Activity (OBA) is consulting, my position in the organization is manager, the duties of this position are providing advice and expertise for independent broker-dealers. Start Date 09/2016 was the start date and 1-5 hours are devoted to the other business per month; 0 hours are devoted to the other business during securities trading hours per month.
CRS (Client Relationship Summary) - RIA
Click below to view Candace Brown'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
September 20, 2019 - Present
DAI WEALTH, LLC
Office #1: 2800 Century Parkway Ne Suite 650, Atlanta, GA 30345RIA
CRD#: 138938
Atlanta, GA
Current
September 19, 2019 - Present
DAI SECURITIES, LLC
Office #1: 2800 Century Parkway Ne Suite 650, Atlanta, GA 30345Office #2: 2800 Century Parkway Ne Suite 650, Atlanta, GA 30345BD
CRD#: 36673
Atlanta, GA
Past
June 17, 2016 - September 13, 2019
INVESTACORP ADVISORY SERVICES INC
RIA
CRD#: 109011
MIAMI, FL
Past
October 15, 2012 - September 13, 2019
INVESTACORP, INC.
BD
CRD#: 7684
MIAMI, FL
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".
DW
DAI WEALTH, LLC
CREATIVE FINANCIAL STRATEGIES LLC | WESTERN PORTFOLIO PARTNERS | WAYPOINT WEALTH STRATEGIES | SOURCENET INVESTMENT SERVICES LLC | RVP II CONSULTING | MICHALETZ ADVISORS, INC. | JOHN GALT WEALTH SOLUTIONS | GOOD COUNSEL WEALTH MANAGEMENT LLC | DISCIPLINE ADVISORS, INC. | DISCIPLINE ADVISORS, INC | DISCIPLINE ADVISORS | DAI WEALTH, LLC | DAI WEALTH, INC.
CRD#: 138938 / SEC#: 801-66260
RIA
Registered Investment Advisory firm - (2/24/2006 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
Georgia(9/19/2019)
IAR
Minnesota(9/20/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
DW
DAI WEALTH, LLC
CREATIVE FINANCIAL STRATEGIES LLC | WESTERN PORTFOLIO PARTNERS | WAYPOINT WEALTH STRATEGIES | SOURCENET INVESTMENT SERVICES LLC | RVP II CONSULTING | MICHALETZ ADVISORS, INC. | JOHN GALT WEALTH SOLUTIONS | GOOD COUNSEL WEALTH MANAGEMENT LLC | DISCIPLINE ADVISORS, INC. | DISCIPLINE ADVISORS, INC | DISCIPLINE ADVISORS | DAI WEALTH, LLC | DAI WEALTH, INC.
CRD#: 138938 / SEC#: 801-66260
RIA
Registered Investment Advisory firm - (2/24/2006 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2800 Century Parkway Ne Suite 650, Atlanta, GA 30345
Mailing Address
Phone number
(404) 531-7080
Established
Firm type
Fiscal year end
# of Employees
32
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,821 |
| AUM (Assets Under Management) | $ 267,417,235 |
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.
