| Advisor Profile |
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| Name: |
Daniel Chen |
| Phone Number: |
(732) 982-2170 |
| Website: |
Visit Website
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About DC Strategies, Integrated Wealth Mgt. |
| Assisting clients in understanding where they are today can be critical in setting attainable financial and personal goals for the future. We are a fee based "Wealth Management" firm that takes a comprehensive approach to clarifying and organizing our client's financial affairs. We provide ongoing education and insight to navigating the complexities of growing and maintaining "Wealth" while our clients benefit from a more balanced life. Our pledge is to provide quality information so that individuals may make sound choices about their financial future. Ultimately, our greatest impact may be the confidence that comes with working with an Adviser that will educate his clients in the options that are available,and implement those strategies in simple and easy to understand terms. |
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General Information |
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| Insurance License#: |
9943468
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| Name of Broker/Dealer: |
Cetera Advisors LLC
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| Name of Custodial Firm: |
Fidelity, Assetmark Trust, TD Ameritrade
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| States Licensed in: |
All States as an RIA
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| States Willing to do Business in: |
All States
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| Years of Experience in Financial Services: |
28
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| Number of Years with Current Firm: |
19
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| I work with the following types of clients: |
Individual Investors, Non-Profit Organizations, Pension Plans, Businesses
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Education |
| Academic Background |
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| B.S. Monmouth University |
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Services |
| Investment Types: |
Fee Based Managed Accounts, Mutual Funds, Bonds, Stocks, Annuities, Insurance, Commodities, Exchange Traded Funds (ETFs), Alternative Investments, Socially Responsible Investments (SRI)
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| I can meet clients in the following ways: |
At my office, Video Conference, At your office, Via phone
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Qualifications & Memberships |
| Securities Licenses: |
Series 6, Series 7, Series 24, Series 63, Investment Advisor Representative
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| Insurance and Annuity Licenses: |
Disability, Annuity, Life, Variable Annuity, Long Term Care, Variable Life
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| Financial Organization Memberships: |
Financial Planning Association (FPA)
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Firm Information |
| Firm's Number of Clients: |
92
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| Firm's Number of Planning Clients: |
35
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| Firm's Number of Managed Clients: |
92
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| Assets Managed by Firm: |
$40mm
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| Advisor's Number of Clients: |
92
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| Advisor's Number of Managed Clients: |
92
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| Advisor's Number of Planning Clients: |
35
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| Assets Managed by Advisor: |
$40mm
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Compliance |
| Registered Investment Advisor: |
Yes
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| Registered Representative: |
Yes
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| Investment Advisor Representative: |
Yes
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| I am an acknowledged fiduciary: |
Yes
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| Compliance Disclosures in Last 5 years: |
I have a clean record
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| Criminal Disclosures in Last 5 years: |
I have a clean record
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Compensation and Fees |
| Fee Structure: |
I am a fee-based financial professional
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| Minimum Portfolio Size for New Managed Accounts: |
500k
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| Compensation Methods: |
Hourly, Flat Fee, Based on Assets
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| Fee % Based on Assets: |
1.0%-1.50%
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| Additional Details on Charges: |
Initial consultation will determine which service
is most appropriate for a client.
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| Prepared By: |
Daniel Chen |
Frequently Asked Questions |
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What are your qualifications? What is your education background? |
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28 years in the Financial services industry. B.A. in Psychology, Monmouth University. |
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What is your approach to financial planning? |
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A comprehensive approach to Wealth Management that designs and delivers a individualized solution in easy to understand terms. |
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What services do you offer? |
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Fee based Financial Planning services. Fee based asset management services. Risk management and Estate planning consultation. |
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How many clients do you currently manage? |
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Will you be the only person working with me? |
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How are you compensated? How will I pay for your services? |
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Flat,hourly and assets under management based fee for service. |
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If you are going to manage my account, will you obtain my permission every time you buy or sell something? |
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Our assets under management are based on non decretionary basis. |
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Do you offer any guaranteed results? |
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Investments are not guranteed. Insurance companies offer certain types of gurantees through annuities. |
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How much risk should I be willing to take? |
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The risk profile for you will be assesed on a individualized basis. |
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Have you ever been charged with any breaches? |
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What services do you provide? What are your specialties? |
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Financial Planning. Risk Planning. Asset management. Estate Planning and tax efficient investing. |
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What financial institution(s) do you represent? |
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I am an Independent Financial Advisor. |
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Do you provide a free initial consultation? |
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Why should I choose you as my financial advisor? |
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My open architecture platform provides clients the options to design an individualized strategy for thier goals. |
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What are your management fees? |
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1% of Assets Under Management |
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Do you have a minimum requirement for number of employees or total investment value? |
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Our Minimum for managing any 401k plan is 2MM |
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What type of plans do you offer? |
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We offer various pension plans as follows,SEP, SIMPLE, 401k, Profit Sharing, |
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What are your qualifications? |
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Our specialty is in intergrating pension assets with other assets to create the most efficient allocation for the goals intended. |
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What is your approach to 401 K plan rollovers? |
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Offering efficient cost structures and investment options for each individual plan. |
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How long does the process of rolling over a 401K plan usually take? |
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What financial institutions do you represent? |
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We represent multiple custodians. exmp; Schwab, TD Ameritrade, Pershing, Genworth Financial. |
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How many years of experience do you have? |
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12 years in plan design and implementation. |
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Do you provide a free initial consultation? |
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