Dalton Lehnen

SCHWAN FINANCIAL ADVISORS

ABERDEEN, SD 57401

CRD#: 7026933

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Professional summary

Dalton 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dalton 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®

None

Experience

Current

July 15, 2024 - Present

SCHWAN FINANCIAL ADVISORS, LLC

Office #1: 401 Vivian Street S., Aberdeen, SD 57401

RIA

CRD#: 127313

ABERDEEN, SD

Current

July 9, 2024 - Present

KOVACK SECURITIES INC.

Office #1: 401 Vivian Street South, Aberdeen, SD 57401

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

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.

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)

South Dakota
(7/9/2024)

IAR

South Dakota
(7/16/2024)

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: 2/4/2022

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/31/2020

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 4/22/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 6/18/2020

Securities Industry Essentials Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

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)

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).

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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

Documents

Latest Form ADV

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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Dalton Lehnen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dalton Lehnen's CRS (Customer Relationship Summary).

Certified licenses

Experience

SCHWAN FINANCIAL ADVISORS, LLC

KOVACK SECURITIES INC.

NOTTINGHAM WEALTH PARTNERS, INC.

HAND SECURITIES, INC

FBD ASSET MGMT

State Registrations and Notice Filings

Exams

Series 63

Date: 2/4/2022

Series 65

Date: 8/31/2020

Series 7TO

Date: 4/22/2022

SIE

Date: 6/18/2020

FINRA

Nasdaq Stock Market

Current Firm

SCHWAN FINANCIAL ADVISORS, LLC

Contact information

Documents

Red Flags

Company Information

SCHWAN FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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