DL
Dalton J. Lehnen
SCHWAN FINANCIAL ADVISORS
Aberdeen, SD 57401
Some features on this profile are disabled
CRD#: 7026933
DL
Professional summary
Dalton James Lehnen, who also goes by Dalton James Lehnen, is a registered financial advisor currently at SCHWAN FINANCIAL ADVISORS, LLC located in Aberdeen, South Dakota and KOVACK SECURITIES INC. located in Aberdeen, South Dakota.
Dalton is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Dalton has worked at 5 firms and has passed the Series 63, Series 65, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dalton James Lehnen
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) DBA - SCHWAN FINANCIAL GROUP - 401 S. VIVIAN STREET, ABERDEEN, SD 57401; INVESTMENT RELATED; FINANCIAL PLANNING; INVESTMENT ADVISOR; 100% OF TIME SPENT. 2) SCHWAN FINANCIAL AGENCY - 401 S. VIVIAN STREET, ABERDEEN, SD 57401; INVESTMENT RELATED; INSURANCE SALES; INVESTMENT ADVISOR; LESS THAN 1% OF TIME SPENT. 3) SCHWAN FINANCIAL ADVISORS - 401 S. VIVIAN STREET, ABERDEEN, SD 57401; INVESTMENT RELATED; FINANCIAL PLANNING; INVESTMENT REPRESENTATIVE; 100% OF TIME SPENT. 4) HARRISBURG BASEBALL ASSOCIATION - 100 COLUMBIA STREET, HARRIBURG, SD 57032; NON-INVESTMENT RELATED; BASEBALL COACH; 10% OF TIME SPENT. 5) COMMUNITY INVESTMENT SERVICES INC - INVESTMENT RELATED - SAME AS LISTED BUSINESS LOCATION - INSURANCE AGENT - APPROXIMATELY 20 HOURSPERMONTH - SALES OF INSURANCE-RELATED PRODUCTS, SERVICING, OR CURRENT AND EXISTING ITEMS - APPROXIMATELY 5% OF TIME ALLOCATEDTO INSURANCE 6) KOVACK SECURITIES, INC - INVESTMENT RELATED - SAME LISTED BUSINESLOCATION - REGISTERED REPRESENTATIVE - 20 MONTH/YEAR JOINED KOVACK 07/09/2024 - REGISTERED REPRESENTATIVE OF A BROKER DEALER.
CRS (Client Relationship Summary) - RIA
Click below to view Dalton James Lehnen'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
July 15, 2024 - Present
SCHWAN FINANCIAL ADVISORS, LLC
Office #1: 401 Vivian Street S., Aberdeen, SD 57401RIA
CRD#: 127313
Aberdeen, SD
Current
July 9, 2024 - Present
KOVACK SECURITIES INC.
Office #1: 401 Vivian Street South, Aberdeen, SD 57401BD
CRD#: 44848
Aberdeen, SD
Past
October 10, 2023 - April 15, 2024
NOTTINGHAM WEALTH PARTNERS, INC.
RIA
CRD#: 306971
SIOUX FALLS, SD
Past
April 23, 2022 - July 5, 2024
HAND SECURITIES, INC
BD
CRD#: 45198
HOUSTON, TX
Past
December 23, 2020 - September 26, 2021
FBD ASSET MGMT
RIA
CRD#: 307216
Bloomington, MN
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
IAR
Minnesota(7/15/2024)
RR
South Dakota(7/9/2024)
IAR
South Dakota(7/16/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/22/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
SF
SCHWAN FINANCIAL ADVISORS, LLC
SCHWAN FINANCIAL ADVISORS, LLC | THE LEGACY PARTNERS ADVISORS,LLC
CRD#: 127313 / SEC#: 801-68527
RIA
Registered Investment Advisory firm - (8/6/2012 Terminated)Alaska
Registered Investment Advisory firm - (7/3/2012 Approved)Arizona
Registered Investment Advisory firm - (6/27/2012 Approved)Florida
Registered Investment Advisory firm - (12/9/2022 Approved)Iowa
Registered Investment Advisory firm - (7/3/2012 Approved)Louisiana
Registered Investment Advisory firm - (8/10/2020 Approved)Michigan
Registered Investment Advisory firm - (8/6/2012 Approved)Minnesota
Registered Investment Advisory firm - (7/3/2012 Approved)Mississippi
Registered Investment Advisory firm - (3/21/2022 Approved)Montana
Registered Investment Advisory firm - (3/27/2009 Terminated)Nebraska
Registered Investment Advisory firm - (12/31/2019 Terminated)North Dakota
Registered Investment Advisory firm - (7/3/2012 Approved)South Dakota
Registered Investment Advisory firm - (7/2/2012 Approved)Texas
Registered Investment Advisory firm - (8/7/2020 Conditional Restricted)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
401 Vivian Street S., Aberdeen, SD 57401
Mailing Address
Phone number
(605) 225-1047
Established
Firm type
Fiscal year end
# of Employees
3
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.
