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 Gender:    Male CRD#:    5150347 Firm CRD#:    283747 States Licensed in:    CT Name of Custodial Firm:    Charles Schwab and Wells Fargo Clearing Services

Qualifications & Memberships Certifications, Accreditations & Designations:    CFA® Securities Licenses:    Series 7, Series 63 Insurance and Annuity Licenses:    Long Term Care, Life, Annuity

Compliance Criminal Disclosures in Last 5 years:    Have a clean record Compliance Disclosures in Last 5 years:    Have a clean record Registered Investment Advisor:    Yes Acknowledged fiduciary:    Yes

Compensation and Fees Compensation Methods:    Based on Assets, Hourly, Flat Fee Fee Structure:    Fee-Based

Frequently Asked Questions

Q.	How are you compensated? How will I pay for your services?

Q.	If you are going to manage my account, will you obtain my permission every time you buy or sell something?

Q.	Will you be the only person working with me?

Q.	How much risk should I be willing to take?

Q.	Have you ever been charged with any breaches?

Q.	What services do you offer?

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

Q.	How do you charge for your services?

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

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Q.	How are you compensated? How will I pay for your services?
I am fee-based manager and charge based on account size. Compensation for planning is either flat-fee or hourly-based.

Q.	If you are going to manage my account, will you obtain my permission every time you buy or sell something?
I have discretionary trading authority for most accounts and permission is not required. Where permission is prefered, such as for investments with a low cost basis, that can be accommodated.

Q.	Will you be the only person working with me?
Yes.

Q.	How much risk should I be willing to take?
The amount of risk you take is based on many factors, both financial and behavioral. We will determine this together.

Q.	Have you ever been charged with any breaches?
No.

Q.	What services do you offer?
I manage client investments and/or provide financial planning. Planning can be holistic or college, social security, retirement or insurance focused. Specialized analysis of employee retirement plans, such as the State of CT Alternative Retirement Plan, is available.

Q.	Why should I choose you as my financial advisor?
I have been serving the investment and planning needs of individual clients since 2006 and was the Director of Planning for a sizable local firm. I am a CFA charterholder and have a BS in Engineering, MS in Management and an MBA.

Q.	How do you charge for your services?
I am fee-based manager and charge based on account size. Compensation for planning is either flat-fee or hourly-based.

Q.	What services do you provide? What are your specialties?
I specialize in investment management and financial planning. When desired, I can also offer life and long-term care insurance. Financial planning can be holistic or college, social security, retirement or insurance focused. Specialized analysis of employee retirement plans, such as the State of CT Alternative Retirement Plan, is also available.