Daniel E. Morgan

INDEPENDENT FINANCIAL PLANNING

Great Falls, VA

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CRD#: 5190434

Professional summary

Daniel Elmer Morgan, CFP®, who also goes by Dan Morgan, Daniel E. Morgan, is a registered financial advisor currently at INDEPENDENT FINANCIAL PLANNING located in Great Falls, Virginia.

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 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dan Morgan | Daniel E. Morgan

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Elmer Morgan'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®

CFP^®

CRD#: 6413

RESTON, VA

Past

June 1, 2009 - December 23, 2010

MORGAN STANLEY

RIA

CRD#: 149777

MCLEAN, VA

Past

June 1, 2009 - December 23, 2010

MORGAN STANLEY

CRD#: 149777

MCLEAN, VA

Past

December 13, 2006 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

MCLEAN, VA

Past

December 1, 2006 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

MCLEAN, VA

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

Virginia
(1/5/2015)

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

IAR

Series 66

Date: 12/12/2006

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 12/2/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 1/16/2007

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 11/30/2006

General Securities Representative Examination

Current Firm

INDEPENDENT FINANCIAL PLANNING

INDEPENDENT FINANCIAL PLANNING | INDEPENDENT FINANCIAL PLANNING, LLC

CRD#: 173917 / SEC#:

Virginia

Registered Investment Advisory firm - (1/5/2015 Approved)

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Contact information

Main Address

Great Falls, VA

Mailing Address

1930 Isaac Newton Square Suite 205, Reston, VA 20190

Phone number

(571) 969-1458

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	331
AUM (Assets Under Management)	$ 30,085,833

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
Virginia	ERA - Withdrawn	12/2/2014

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.

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Firm Stability Insights

Daniel E. Morgan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Elmer Morgan's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

RESTON WEALTH MANAGEMENT

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/12/2006

SIE

Date: 12/2/2014

Series 31

Date: 1/16/2007

Series 7

Date: 11/30/2006

Current Firm

INDEPENDENT FINANCIAL PLANNING

Contact information

Documents

Regulatory assets under management

Exempt reporting advisers

Red Flags

Company Information

INDEPENDENT FINANCIAL PLANNING

TRUST BUT VERIFY

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