Daniel J. Mcfarlane

MCFARLANE INVESTMENT ADVISORY SERVICES

Monterey, CA

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CRD#: 733655

Professional summary

Daniel Joseph Mcfarlane, who also goes by Daniel J. Mcfarlane, Daniel Mcfarlane, is a registered financial advisor currently at MCFARLANE INVESTMENT ADVISORY SERVICES INC. located in Monterey, California and INTERNATIONAL ASSETS ADVISORY, LLC located in Monterey, California.

Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Daniel has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Daniel J. Mcfarlane | Daniel Mcfarlane

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) MCFARLANE INVESTMENT ADVISORY SERVICES, INC. 12 WHITE TAIL LANE, MONTEREY, CA 93940 - REGISTERED INVESTMENT ADVISOR - ASSET MANAGEMENT - PRESIDENT SINCE 1994 - APPROX 80 HRS/MO - FEE BASED COMPENSATION 2) MCFARLANE INVESTMENT GROUP - 12 WHITE TAIL LANE, MONTEREY, CA 93940 - PRIVATE LABEL ENTITY FOR FINANCIAL BUSINESS - OWNER SINCE 1994 - APPROX 80 HRS/MO - FEES/COMMISSIONS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Joseph Mcfarlane'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

February 6, 1995 - Present

MCFARLANE INVESTMENT ADVISORY SERVICES INC.

RIA

CRD#: 134839

Monterey, CA

Current

April 23, 2019 - Present

INTERNATIONAL ASSETS ADVISORY, LLC

RIA

CRD#: 10645

MONTEREY, CA

Past

August 21, 2017 - April 23, 2019

WESTERN INTERNATIONAL SECURITIES, INC.

CRD#: 39262

Monterey, CA

Past

December 10, 2004 - August 21, 2017

FINANCIAL WEST GROUP

CRD#: 16668

Monterey, CA

Past

January 4, 1999 - December 15, 2004

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

October 14, 1994 - January 4, 1999

ROBERT THOMAS SECURITIES, INC

CRD#: 10147

ST. PETERSBURG, FL

Past

October 12, 1989 - October 26, 1994

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

April 11, 1988 - November 8, 1989

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

March 23, 1981 - April 11, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

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

California
(2/6/1995)

California
(4/23/2019)

Idaho
(4/23/2019)

Oregon
(4/23/2019)

Texas
(4/23/2019)

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

IAR

Series 65

Date: 10/7/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/29/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/21/1981

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/28/1995

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

MCFARLANE INVESTMENT ADVISORY SERVICES INC.

MCFARLANE INVESTMENT ADVISORY SERV.INC | MCFARLANE INVESTMENT ADVISORY SERVICES INC.

CRD#: 134839 / SEC#:

California

Registered Investment Advisory firm - (2/6/1995 Approved)

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Contact information

Main Address

Monterey, CA

Mailing Address

Phone number

(831) 601-7683

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	6
AUM (Assets Under Management)	$ 4,277,829

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Daniel J. Mcfarlane

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Joseph Mcfarlane's CRS (Customer Relationship Summary).

Certified licenses

Experience

INTERNATIONAL ASSETS ADVISORY, LLC

WESTERN INTERNATIONAL SECURITIES, INC.

FINANCIAL WEST GROUP

RAYMOND JAMES FINANCIAL SERVICES, INC.

ROBERT THOMAS SECURITIES, INC

UBS FINANCIAL SERVICES INC.

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/7/1992

Series 63

Date: 6/29/1982

SIE

Date: 10/1/2018

Series 7

Date: 3/21/1981

Series 24

Date: 2/28/1995

FINRA

Current Firm

MCFARLANE INVESTMENT ADVISORY SERVICES INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MCFARLANE INVESTMENT ADVISORY SERVICES INC.

TRUST BUT VERIFY

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