Dane Broadie

ALLSTATE FINANCIAL ADVISORS

Overland Park, KS 66210-1371

Some features on this profile are disabled

CRD#: 5958437

Professional summary

Dane Broadie, CFP®, who also goes by Dane M Broadie, Dane Broadie, is a registered financial advisor currently at ALLSTATE FINANCIAL ADVISORS, LLC located in Overland Park, Kansas and ALLSTATE FINANCIAL SERVICES, LLC located in Overland Park, Kansas.

Dane is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Dane has worked at 5 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dane M Broadie | Dane Broadie

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 Dane Broadie'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: 2019

Experience

Current

May 13, 2020 - Present

ALLSTATE FINANCIAL ADVISORS, LLC

Office #1: 11808 Quivira Rd, Overland Park, KS 66210-1371

RIA

CRD#: 109524

Overland Park, KS

Current

April 20, 2020 - Present

ALLSTATE FINANCIAL SERVICES, LLC

Office #1: 11808 Quivira Rd, Overland Park, KS 66210-1371

CRD#: 18272

Overland Park, KS

Past

September 6, 2017 - October 3, 2019

LEGACY FINANCIAL STRATEGIES, LLC

RIA

CRD#: 283553

LEAWOOD, KS

Past

July 3, 2014 - September 8, 2017

LPL FINANCIAL LLC

RIA

CRD#: 6413

KANSAS CITY, KS

Past

July 3, 2014 - September 8, 2017

LPL FINANCIAL LLC

CRD#: 6413

KANSAS CITY, KS

Past

June 29, 2012 - July 30, 2014

EQUITY SERVICES, INC.

RIA

CRD#: 265

OVERLAND PARK, KS

Past

February 7, 2012 - July 30, 2014

EQUITY SERVICES, INC.

CRD#: 265

OVERLAND PARK, KS

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".

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA

Registered Investment Advisory firm - (11/21/2007 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.

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
(2/7/2022)

Colorado
(7/21/2021)

Iowa
(2/6/2023)

Kansas
(4/24/2020)

IAR

Kansas
(5/13/2020)

Missouri
(4/27/2020)

South Carolina
(10/11/2023)

South Dakota
(1/5/2021)

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

Series 63

Date: 12/28/2020

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 6/28/2012

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 9/8/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/6/2012

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA

Registered Investment Advisory firm - (11/21/2007 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

151 N 8th Street, Suite 450, Lincoln, NE 68508

Mailing Address

151 N 8th Street, Suite 450, Lincoln, NE 68508

Phone number

(877) 232-2142

Established

Firm type

Fiscal year end

# of Employees

337

SEC notice filing (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AFA FORM ADV FIRM BROCHURE 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	280
AUM (Assets Under Management)	$ 82,015,793

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.

Similar Advisors

Amanda Earlywine

HUMAN INVESTING

IAR

Lake Oswego, OR

Thomas Pineau-valencienne

CHIMERA SECURITIES, LLC

New York, NY

Vincent Renaut

PIER 42 ADVISORS

IAR

Plymouth, MA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Dane Broadie

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dane Broadie's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALLSTATE FINANCIAL SERVICES, LLC

LEGACY FINANCIAL STRATEGIES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

EQUITY SERVICES, INC.

EQUITY SERVICES, INC.

Primary Firm SEC Registration

ALLSTATE FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/28/2020

Series 66

Date: 6/28/2012

SIE

Date: 9/8/2017

Series 7

Date: 2/6/2012

FINRA

Current Firm

ALLSTATE FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (49 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALLSTATE FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors