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DB

Dani G. Barron

THE PLANNING GROUP
Northfield, IL 60093
Some features on this profile are disabled
CRD#: 5274828
DB

Professional summary

Dani Gerald Barron is a registered financial advisor currently at THE PLANNING GROUP located in Northfield, Illinois.

Dani is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Dani has worked at 4 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.

top-8-questions

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.
1) THE PLANNING GROUP INC 465 CENTRAL AVE, STE 201, NORTHFIELD, IL, 02/02007 AS INDEPENDENT INSURANCE AGENT THAT SELLS AND SERVICES HEALTH, LIFE, AND DISABILITY INSURANCE. INVESTMENT RELATED. DEVOTES 20 HRS/WK. 15 DURING TRADING. 2)Dani Gerald Barron founded a South African Networking Group to build relationships with other South Africans in Illinois and around the USA. The group has monthly breakfast events with speakers from different businesses. They also host quarterly evening networking events.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dani Gerald Barron's CRS (Customer Relationship Summary).
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®
None

Experience

Current

September 28, 2018 - Present

THE PLANNING GROUP

Office #1: 465 Central Ave Suite 201, Northfield, IL 60093
RIA
CRD#: 298496
Northfield, IL
Past

August 31, 2009 - January 24, 2019

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA
CRD#: 134139
Northfield, IL
Past

August 18, 2009 - December 31, 2018

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD
CRD#: 39543
Northfield, IL
Past

January 23, 2007 - August 19, 2009

WATERSTONE FINANCIAL GROUP, INC.

BD
CRD#: 10078
NORTHFIELD, IL

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".
TP
THE PLANNING GROUP
THE PLANNING GROUP | TPG ADVISORS LLC

CRD#: 298496 / SEC#: 801-114032

RIA
Registered Investment Advisory firm - (9/20/2018 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.

Highlighted states indicate IAR registrations

IAR
Arizona
(1/5/2021)
IAR
California
(9/17/2025)
IAR
Florida
(12/14/2020)
IAR
Illinois
(9/28/2018)
IAR
Texas
(9/3/2019)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/29/2009
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 1/29/2007
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/22/2007
General Securities Representative Examination

Current Firm

TP
THE PLANNING GROUP
THE PLANNING GROUP | TPG ADVISORS LLC

CRD#: 298496 / SEC#: 801-114032

RIA
Registered Investment Advisory firm - (9/20/2018 Approved)
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Contact information

Main Address
465 Central Ave Suite 201, Northfield, IL 60093
Mailing Address
Phone number
(847) 441-9400
Established
Firm type
Fiscal year end
# of Employees
4

SEC notice filing (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2 2022 (3/14/2025)

Regulatory assets under management

Total Number of Accounts727
AUM (Assets Under Management)$ 235,778,880

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.

Company Information

THE PLANNING GROUP

CRD#: 298496Northfield, IL 60093

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