Featured Business Financial Advisor in Avon, CT
Avon Financial Advisors
DAK Financial Services
11 Wintergreen Ln
Avon, CT 06001
(860) 269-8130
“Financial Planning & Investment Management”
Advisor Profile
Douglas A. Kartsen, CFA
Name:  Douglas A. Kartsen, CFA
Phone Number:  (860) 269-8130
Website:  Visit Website

About DAK Financial Services

DAK Financial Services is a Registered Investment Advisor in the State of Connecticut. An independent firm, we work closely with individuals and families to help them define and realize their financial and investment objectives. Let us help you to achieve your goals.
 

General Information

Name of Custodial Firm:    Charles Schwab and Wells Fargo Clearing Services
States Licensed in:    CT
Firm CRD#:    283747
CRD#:    5150347
 

Qualifications & Memberships

Insurance and Annuity Licenses:    Long Term Care, Life, Annuity
Securities Licenses:    Series 7, Series 63
Certifications, Accreditations & Designations:    Chartered Financial Analyst (CFA)
 

Compliance

I am an acknowledged fiduciary:    Yes
Registered Investment Advisor:    Yes
Compliance Disclosures in Last 5 years:    I have a clean record
Criminal Disclosures in Last 5 years:    I have a clean record
 

Compensation and Fees

Fee Structure:    Fee-Based (Fee and Commissions)
Compensation Methods:    Based on Assets, Hourly, Flat Fee