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Dan Brown, CWS®
National Wealth Management Group / LPL Financial

Tel: 513-252-6140
11260 Chester Rd Suite 250
Cincinnati, OH 45246

National Wealth Management Group


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 National Wealth Management Group / LPL Financial

LPL was Founded in 1989 , and currently has over 18,000 advisors, 800 financial partners , and Fortune 500 Company.

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General Information

Firm Start Year:   1996
No. of Employees:   2-4
Insurance License#:   60172
States Licensed in:   ohio,TN,KY, IN ,FL
Number of Years with Current Firm:   2
Work Experience:   I am a Fiduciary , and have 25 years in the financial service industry , and 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, Non-Profit Organizations, Individual Investors
Advisory Services Provided:   Investment Advice & Management, Estate Planning & Trusts, Insurance Products & Annuities, Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Money Management, Risk Management, Education Funding and Planning, Financial Planning for Individuals, Financial Advice & Consulting

Services

Investment Types:   Alternative Investments, Exchange Traded Funds (ETFs), Mortgages & Real Estate, Stocks, Bonds, Insurance, Mutual Funds, Annuities, Commodities, Socially Responsible Investments (SRI)
Can meet clients in the following ways:   Your Home, Our Office, Phone, Email, Your Office, Video Conference

Qualifications & Memberships

Insurance and Annuity Licenses:   Variable Life, Long Term Care, Variable Annuity, Life, Annuity

Firm Information

Advisor's Number of Clients:   250
Advisor's Number of Managed Clients:   200
Advisor's Number of Planning Clients:   100
Assets Managed by Advisor:   $40,000,000

Compensation and Fees

Fee Structure:   Fee-Based
Minimum Portfolio Size for New Managed Accounts:   $25000
Compensation Methods:   Based on Assets
Minimum Fee Charged for Hourly Planning Accounts:   na

FAQs

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.

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.

How do you charge for your services?

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

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

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

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

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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/lpl-www/documents/disclosures/A58.pdf

Additional Detailed Disclosures

https://www.lpl.com/content/dam/lpl-www/documents/disclosures/wiseradvisor/wiseradvisor-lpl-detailed-disclosures.pdf

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


Communities Served

Cincinnati, Norther Ky, Indiana, and Dayton Ohio

Compensation Arrangements

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