Carrington B. Day

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CRD#: 62940

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Carrington Beach Day was a registered financial professional .

Carrington is a previously registered financial professional and started their career in finance in 1973. Carrington had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 26, 2011 - May 6, 2015

GLOBAL FINANCIAL PLANNING GROUP, LLC

RIA

CRD#: 114803

TROY, MI

Past

July 9, 2010 - June 1, 2011

CENTER FOR FINANCIAL MANAGEMENT I, LLC

RIA

CRD#: 119993

TROY, MI

Past

July 9, 2010 - February 10, 2012

LPL FINANCIAL LLC

RIA

CRD#: 6413

HARBOR SPRINGS, MI

Past

September 8, 2009 - December 31, 2014

LPL FINANCIAL LLC

CRD#: 6413

HARBOR SPRINGS, MI

Past

October 15, 1993 - October 9, 1996

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

WINDSOR, CT

Past

June 19, 1983 - October 15, 1993

AETNA LIFE INSURANCE AND ANNUITY COMPANY

CRD#: 13256

HARTFORD, CT

Past

April 3, 1981 - September 8, 2009

MUTUAL SERVICE CORPORATION

CRD#: 4806

HARBOR SPRINGS, MI

Past

August 25, 1980 - November 20, 1980

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

Past

May 1, 1973 - January 20, 1990

THE GREAT-WEST LIFE ASSURANCE COMPANY

CRD#: 5927

ENGLEWOOD, CO

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".

GLOBAL FINANCIAL PLANNING GROUP, LLC

GLOBAL FINANCIAL PLANNING GROUP, LLC | R.O. DAVIES AND ASSOCIATES, INC. | R.O DAVIES AND ASSOCIATES, INC.

CRD#: 114803 / SEC#: 801-132883

RIA

Registered Investment Advisory firm - (5/30/2025 Approved)

Florida

Registered Investment Advisory firm - (6/12/2025 Terminated)

Michigan

Registered Investment Advisory firm - (6/12/2025 Terminated)

Texas

Registered Investment Advisory firm - (6/12/2025 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.

Visual representation of state registrations

This advisor is not registered in any state.

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 65

Date: 6/9/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/23/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 4/27/1973

Registered Representative Examination

Current Firm

GLOBAL FINANCIAL PLANNING GROUP, LLC

GLOBAL FINANCIAL PLANNING GROUP, LLC | R.O. DAVIES AND ASSOCIATES, INC. | R.O DAVIES AND ASSOCIATES, INC.

CRD#: 114803 / SEC#: 801-132883

RIA

Registered Investment Advisory firm - (5/30/2025 Approved)

Florida

Registered Investment Advisory firm - (6/12/2025 Terminated)

Michigan

Registered Investment Advisory firm - (6/12/2025 Terminated)

Texas

Registered Investment Advisory firm - (6/12/2025 Terminated)

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Contact information

Main Address

900 Wilshire Drive Suite 385, Troy, MI 48084

Mailing Address

Phone number

(248) 643-4820

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GLOBAL FINANCIAL PLANNING GROUP, LLC APPENDIX 1 (4/29/2025)

GLOBAL FINANCIAL PLANNING GROUP, LLC ADV BROCHURE (4/29/2025)

Regulatory assets under management

Total Number of Accounts	551
AUM (Assets Under Management)	$ 125,636,414

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

Carrington B. Day

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CENTER FOR FINANCIAL MANAGEMENT I, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

VOYA FINANCIAL PARTNERS, LLC

AETNA LIFE INSURANCE AND ANNUITY COMPANY

MUTUAL SERVICE CORPORATION

NATIONWIDE INVESTMENT SERVICES CORPORATION

THE GREAT-WEST LIFE ASSURANCE COMPANY

Primary Firm SEC Registration

GLOBAL FINANCIAL PLANNING GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/9/2010

Series 63

Date: 7/23/1981

SIE

Date: 12/31/2014

Series 1

Date: 4/27/1973

Current Firm

GLOBAL FINANCIAL PLANNING GROUP, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GLOBAL FINANCIAL PLANNING GROUP, LLC

TRUST BUT VERIFY

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