Douglas A. Kartsen

DAK Financial Services

11 Wintergreen Ln

Avon, CT 06001

860-269-8130

Financial Planning & Investment Management

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

Firm Start Year

2016

No.of Employees

CRD#

5150347

Firm CRD#

283747

Name of Custodial Firm

Charles Schwab and Wells Fargo Clearing Services

States Licensed in

Compliance

Registered Investment Advisor

Yes

Acknowledged fiduciary

Yes

Compliance Disclosures in Last 5 years

Have a clean record

Criminal Disclosures in Last 5 years

Have a clean record

Qualifications & Membership

Certifications, Accreditations & Designations

CFA^®

Securities Licenses

Series 63, Series 7

Insurance and Annuity Licenses

Annuity, Life, Long Term Care

Compensation and Fees

Fee Structure

Fee-Based

Compensation Methods

Based on Assets

Education

Bachelor of Science - Mechanical Engineering

University of New Hampshire
-

Master of Business Administration -

Rensselaer Polytechnic Institute
-

Master of Science - Management with concentration in Finance

Rensselaer Polytechnic Institute
-

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