Daniel Chen

DC Strategies, Integrated Wealth Mgt.

12 Christopher Way
Suite #200

Eatontown, NJ 07724
(732) 9822170

"Know Your Options"

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.

General Information

Firm Start Year

1998

No.of Employees

5-9

CRD#

1183323

Insurance License#

9943468

Name of Broker/Dealer

Cetera Advisors LLC

Name of Custodial Firm

Fidelity, Assetmark Trust, TD Ameritrade

States Licensed in

All States as an RIA

Years of Experience in Financial Services

Number of Years with Current Firm

I work with the following types of clients

Businesses, Individual Investors, Pension Plans, Non-Profit Organizations

Services

Investment Types

Fee Based Managed Accounts, Exchange Traded Funds (ETFs), Annuities, Insurance, Stocks, Mutual Funds, Bonds, Alternative Investments, Commodities, Socially Responsible Investments (SRI)

I can meet clients in the following ways

Via phone, At your office, At my office, Video Conference

Compliance

Registered Investment Advisor

Yes

Registered Representative

Yes

Investment Advisor Representative

Yes

I am an acknowledged fiduciary

Yes

Compliance Disclosures in Last 5 years

I have a clean record

Criminal Disclosures in Last 5 years

I have a clean record

Qualifications & Membership

Securities Licenses

Series 24, Series 63, Investment Advisor Representative, Series 7, Series 6

Insurance and Annuity Licenses

Annuity, Life, Long Term Care, Variable Annuity, Variable Life, Disability

Financial Organization Memberships

Financial Planning Association (FPA)

Firm Information

Firm's Number of Clients

Firm's Number of Planning Clients

Firm's Number of Managed Clients

Assets Managed by Firm

$40mm

Advisor's Number of Clients

Advisor's Number of Managed Clients

Advisor's Number of Planning Clients

Assets Managed by Advisor

$40mm

Compensation and Fees

Fee Structure

Fee-Based

Minimum Portfolio Size for New Managed Accounts

500k

Compensation Methods

Based on Assets

Fee % Based on Assets

1.0%-1.50%

Hourly Rate

$300

Flat Fee Rate

$2000

Additional Details on Charges

Initial consultation will determine which service is most appropriate for a client.

Education

BS - Psycology

Monmouth University
September 1975 - June 1979

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