Daryl Okken

MTM FINANCIAL GROUP

Bethlehem, PA 18020

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CRD#: 5752642

Professional summary

Daryl Okken, who also goes by Daryl L. Okken, is a registered financial advisor currently at MTM FINANCIAL GROUP, LLC located in Bethlehem, Pennsylvania and THE STRATEGIC FINANCIAL ALLIANCE, INC. located in Bethlehem, Pennsylvania.

Daryl is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Daryl has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Daryl L. Okken

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) GENESIS RESIDENTIAL, LLC, 7150 HAMILTON BLVD., STE. 6320, TREXLERTOWN, PA 18087, NON-INVESTMENT RELATED, STARTED 04/2009/ 8 HRS. PER MONTH, REAL ESTATE INVESTING FOR RENTAL INCOME AND APPRECIATION.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daryl Okken'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 11, 2020 - Present

MTM FINANCIAL GROUP, LLC

Office #1: 4505 Hanoverville Road, Bethlehem, PA 18020

RIA

CRD#: 147221

Bethlehem, PA

Current

March 22, 2010 - Present

THE STRATEGIC FINANCIAL ALLIANCE, INC.

Office #1: 4505 Hanoverville Road, Bethlehem, PA 18020

RIA

CRD#: 126514

Bethlehem, PA

Past

May 21, 2010 - July 20, 2020

THE STRATEGIC FINANCIAL ALLIANCE, INC.

RIA

CRD#: 126514

ATLANTA, GA

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".

MTM FINANCIAL GROUP, LLC

112 ADVISOR | MTM FINANCIAL GROUP, LLC

CRD#: 147221 / SEC#: 801-97342

RIA

Registered Investment Advisory firm - (6/1/2015 Approved)

Pennsylvania

Registered Investment Advisory firm - (6/3/2015 Terminated)

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.

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

California
(1/3/2018)

Missouri
(11/25/2020)

New Jersey
(6/4/2010)

IAR

New Jersey
(9/14/2020)

New York
(6/4/2010)

North Carolina
(11/3/2016)

Pennsylvania
(5/21/2010)

IAR

Pennsylvania
(9/11/2020)

South Carolina
(1/3/2018)

Virginia
(1/3/2018)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/20/2010

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/19/2010

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

MTM FINANCIAL GROUP, LLC

112 ADVISOR | MTM FINANCIAL GROUP, LLC

CRD#: 147221 / SEC#: 801-97342

RIA

Registered Investment Advisory firm - (6/1/2015 Approved)

Pennsylvania

Registered Investment Advisory firm - (6/3/2015 Terminated)

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Contact information

Main Address

4505 Hanoverville Road, Bethlehem, PA 18020

Mailing Address

Phone number

(610) 746-7007

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV FORM 2A - MTM FINANCIAL GROUP, LLC (1/24/2025)

Regulatory assets under management

Total Number of Accounts	3,167
AUM (Assets Under Management)	$ 620,658,505

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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Daryl Okken

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daryl Okken's CRS (Customer Relationship Summary).

Certified licenses

Experience

MTM FINANCIAL GROUP, LLC

THE STRATEGIC FINANCIAL ALLIANCE, INC.

THE STRATEGIC FINANCIAL ALLIANCE, INC.

Primary Firm SEC Registration

MTM FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/20/2010

SIE

Date: 10/1/2018

Series 7

Date: 3/19/2010

FINRA

Current Firm

MTM FINANCIAL GROUP, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MTM FINANCIAL GROUP, LLC

TRUST BUT VERIFY

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