Daniel B. Carey

MENTOR CAPITAL MANAGEMENT

Chicago, IL 60642

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CRD#: 5308930

Professional summary

Daniel Brenden Carey, CFP® is a registered financial advisor currently at MENTOR CAPITAL MANAGEMENT INC. located in Chicago, Illinois.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Daniel has worked at 2 firms and has passed the Series 66 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Brenden Carey'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®

CFP^®

Certified Financial Planner

Start date: 2004

Experience

Current

January 5, 2009 - Present

MENTOR CAPITAL MANAGEMENT INC.

Office #1: 823 W. Superior St. Unit C, Chicago, IL 60642

RIA

CRD#: 123176

Chicago, IL

Past

May 25, 2007 - June 27, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

CHICAGO, IL

Past

May 18, 2007 - June 27, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

CHICAGO, 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".

MENTOR CAPITAL MANAGEMENT INC.

MENTOR CAPITAL MANAGEMENT INC. | MENTOR FINANCIAL

CRD#: 123176 / SEC#: 801-118368

RIA

Registered Investment Advisory firm - (4/3/2020 Approved)

Illinois

Registered Investment Advisory firm - (4/6/2020 Terminated)

Texas

Registered Investment Advisory firm - (2/13/2017 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Illinois
(1/5/2009)

IAR

Texas
(2/13/2017)

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: 5/24/2007

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 5/17/2007

General Securities Representative Examination

Current Firm

MENTOR CAPITAL MANAGEMENT INC.

MENTOR CAPITAL MANAGEMENT INC. | MENTOR FINANCIAL

CRD#: 123176 / SEC#: 801-118368

RIA

Registered Investment Advisory firm - (4/3/2020 Approved)

Illinois

Registered Investment Advisory firm - (4/6/2020 Terminated)

Texas

Registered Investment Advisory firm - (2/13/2017 Conditional Restricted)

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Contact information

Main Address

823 W. Superior St. Unit C, Chicago, IL 60642

Mailing Address

Phone number

(312) 526-3838

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MENTOR CAPITAL AMENDMENT UPDATE 2025 (4/1/2025)

Regulatory assets under management

Total Number of Accounts	1,277
AUM (Assets Under Management)	$ 195,230,556

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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Daniel B. Carey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Brenden Carey's CRS (Customer Relationship Summary).

Certified licenses

Experience

MENTOR CAPITAL MANAGEMENT INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

MENTOR CAPITAL MANAGEMENT INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 5/24/2007

Series 7

Date: 5/17/2007

Current Firm

MENTOR CAPITAL MANAGEMENT INC.

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MENTOR CAPITAL MANAGEMENT INC.

TRUST BUT VERIFY

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