What financial institution(s) do you represent?

National Wealth Management Group (https://www.nwmgadvisors.com/home)

VETTED

Dan Brown

Q: Do you have a customer satisfaction or refund policy?

I do not have a refund policy, but my clients do not sign any type of contract that obligates them to having me as their advisor. My client can fire me at any time for any reason.

Q: Why should I choose you as my financial advisor?

I believe that I bring a refreshing approach as a financial advisor and my clients have a good understanding of all material facts (fees, risk, and overall investment strategies). Scheduling regular and planned reviews 1 to 4 times per year is a mandatory best practice that is vital to a long lasting relationship with your advisor.

Q: How do you charge for your services?

As a fiduciary, I typically charge a fee for assets under management.

Q: What services do you provide? What are your specialties?

1) A written Financial Plan 2.) Implementing an investment strategy based up the client risk, needs, and long term goals. 3.) An open architecture of investment options and choices (No proprietary investments) 4.) Regularly revisit plan and make changes and update accordingly

Q: What is your experience? How many clients do you currently manage?

I have over 25 years experience with hundreds of clients. My clients range from ages 30-95 yrs old.

CWS

Tel: 513-391-3187 11260 Chester Rd Suite 250 Cincinnati, OH 45246

LPL Financial

About Dan Brown

I started in the financial services business in 1996 ( Investments and Insurance). I became securities licensed (series 6,63,66, and 7) a few years later. I specialize in creating financial plans for individuals and families, and recommending the appropriate investments to help my clients achieve their goals. I received my Certified Wealth Strategist CWS designation in 2015.

About LPL Financial

LPL was Founded in 1989 , and currently has over 20,000 advisors, 800 financial partners , and Fortune 500 Company.

See Disclosures

General Information

CRD#:

4163118

Firm CRD#:

6413

Insurance License#:

60172

States Licensed in:

OH, TN, KY, IN, FL

States Willing to do Business in:

Cincinnati, Dayton, IN, Northern KY

Years of Experience in Financial Services:

Number of Years with Current Firm:

Work Experience:

I am a Fiduciary and have 27 years in the financial service industry. I specialize in helping my clients find the appropriate amount of risk to reach their financial goals. I typically have fees that are consistently lower than the industry norms. A written financial plan is included for all clients with 250k or more to invest.

Work with the following types of clients:

Businesses, Individual Investors, Non-Profit Organizations

Advisory Services Provided:

Education Funding and Planning, Financial Planning for Individuals, Risk Management, Financial Advice & Consulting, Investment Advice & Management, Estate Planning & Trusts, Insurance Products & Annuities, Financial Planning, Money Management, Wealth Management, 401K Rollovers, Retirement Planning, Portfolio Management

Compliance

Registered Representative:

Yes

Investment Advisor Representative:

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 & Memberships

Certifications, Accreditations & Designations:

CWS

Securities Licenses:

Series 6, Series 7, Series 66

Insurance and Annuity Licenses:

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

Services

Investment Types:

Bonds, Mutual Funds, Stocks, Annuities, Insurance, Commodities, Mortgages & Real Estate, Exchange Traded Funds (ETFs), Alternative Investments, Socially Responsible Investments (SRI)

Can meet clients in the following ways:

Your Office, Video Conference, Your Home, Our Office, Phone, Email

Compensation and Fees

Fee Structure:

Fee-Based

Minimum Portfolio Size for New Managed Accounts:

$25000

Compensation Methods:

Based on Assets

Minimum Fee Charged for Managed Accounts:

Minimum Fee Charged for Hourly Planning Accounts:

Firm Information

Advisor's Number of Clients:

250

Advisor's Number of Managed Clients:

200

Advisor's Number of Planning Clients:

100

Total Assets Under Management by Advisor:

$40,000,000

Preferred meeting methods

I provide a free initial consultation:

Yes

Do you have a customer satisfaction or refund policy?

Why should I choose you as my financial advisor?

How do you charge for your services?

What services do you provide? What are your specialties?

What is your experience? How many clients do you currently manage?

Disclosures

WiserAdvisor provides referrals to financial professionals of LPL Financial, LLC (LPL). WiserAdvisor is not a current client of LPL for brokerage or advisory services. Financial professionals of LPL pay WiserAdvisor cash compensation for these referrals, which creates the incentive for WiserAdvisor to make these referrals, resulting in a conflict of interest.

LPL ADV 2A

https://www.lpl.com/content/dam/edam/format/disclosure/a58.pdf

Additional Detailed Disclosures

https://www.lpl.com/content/dam/edam/format/disclosure/wiseradvisor-lpl-detailed-disclosures.pdf

26 Years of Experience

CRD# 4163118 Firm CRD# 6413Insurance License# 60172Series 6, 7, 66

Compliance

Registered RepresentativeYes

Investment Advisor RepresentativeYes

Acknowledged fiduciaryYes

Compliance Disclosures in Last 5 yearsHave a clean record

Criminal Disclosures in Last 5 yearsHave a clean record