DK
Dan J. Kopcak
REDWOOD FINANCIAL NETWORK
Solon, OH 44139
Some features on this profile are disabled
CRD#: 6573080
DK
Professional summary
Dan John Kopcak is a registered financial advisor currently at REDWOOD FINANCIAL NETWORK located in Solon, Ohio and LPL FINANCIAL LLC located in Solon, Ohio.
Dan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Dan has worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 6 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.
1) 05/19/2017 - REDWOOD FINANCIAL NETWORK CORPORATION - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s).
2) 5/24/2017 - REDWOOD FINANCIAL NETWORK CORP. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start 6/1/2017 - 160 Hours Per Month/6.5 Hours During Securities Trading - Time Spent 70% - I provide administrative services through Redwood Financial Network Corp., an independent investment advisor firm. I started this business activity in May 2017. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
3) 06/2017; NON-VARIABLE INSURANCE; VARIOUS LIFE, HEALTH, DISABILITY, LONG-TERM CARE AND FIXED ANNUITY BUSINESS DIRECTLY THROUGH VARIOUS INSURANCE CARRIERS; SOLON, OH; 5% TIME SPENT.
CRS (Client Relationship Summary) - RIA
Click below to view Dan John Kopcak's 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®
NoneExperience
Current
April 6, 2018 - Present
REDWOOD FINANCIAL NETWORK
Office #1: 30285 Bruce Industrial Parkway Suite A, Solon, OH 44139RIA
CRD#: 157834
Solon, OH
Current
May 19, 2017 - Present
LPL FINANCIAL LLC
Office #1: 30285 Bruce Industrial Pwy #a, Solon, OH 44139RIA
BD
CRD#: 6413
SOLON, OH
Past
April 28, 2016 - June 1, 2017
W&S BROKERAGE SERVICES, INC.
BD
CRD#: 8099
HUDSON, OH
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".
RF
REDWOOD FINANCIAL NETWORK
REDWOOD FINANCIAL NETWORK | REDWOOD FINANCIAL NETWORK CORP.
CRD#: 157834 / SEC#: 801-79617
RIA
Registered Investment Advisory firm - (4/28/2014 Approved)Illinois
Registered Investment Advisory firm - (4/28/2014 Terminated)Ohio
Registered Investment Advisory firm - (5/16/2014 Terminated)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.RR
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
RR
Ohio(5/19/2017)
IAR
Ohio(4/6/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
RF
REDWOOD FINANCIAL NETWORK
REDWOOD FINANCIAL NETWORK | REDWOOD FINANCIAL NETWORK CORP.
CRD#: 157834 / SEC#: 801-79617
RIA
Registered Investment Advisory firm - (4/28/2014 Approved)Illinois
Registered Investment Advisory firm - (4/28/2014 Terminated)Ohio
Registered Investment Advisory firm - (5/16/2014 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
30285 Bruce Industrial Parkway Suite A, Solon, OH 44139
Mailing Address
Phone number
(440) 287-5020
Established
Firm type
Fiscal year end
# of Employees
11
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 968 |
| AUM (Assets Under Management) | $ 225,966,713 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
