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Douglas A. Kartsen, CFA

DAK Financial Services

11 Wintergreen Ln

Avon, CT 06001
(860) 2698130

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

1

CRD#

5150347

Firm CRD#

283747

Name of Custodial Firm

Charles Schwab and Wells Fargo Clearing Services

States Licensed in

CT

Compliance

Registered Investment Advisor

Yes

Registered Representative

No

Investment Advisor Representative

No

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

Certifications, Accreditations & Designations

Chartered Financial Analyst (CFA)

Securities Licenses

Series 7, Series 63

Insurance and Annuity Licenses

Life, Long Term Care, Annuity

Compensation and Fees

Fee Structure

Fee-Based

Compensation Methods

Hourly

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
-