DL
Daniel V. Leach
CETERA INVESTMENT ADVISERS LLC
Islesboro, ME
Some features on this profile are disabled
CRD#: 1015533
DL
Professional summary
Daniel Vernon Leach, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Islesboro, Maine and CETERA ADVISORS LLC located in Naples, Florida.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Daniel has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1.DANIEL LEACH FINANCIAL SERVICES AND PROSPERITY ADVISORS LLC, SAME AS OFFICE ADDRESS, 100% OWNER, START 09/01/79, FIXED INSURANCE AND FINANCIAL SERVICES DBA, 40HR/WK. 2. NAME OF OTHER BUSINESS: BOATING BUMS LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: HOLDING COMPANY; START DATE: 11/2022; POSITION/TITLE/RELATIONSHIP: TRUSTEE; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: LLC TO HOLD ASSES FOR ASSET PROTECTION; 3. NAME OF OTHER BUSINESS: MUSKRAT LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: HOLDING COMPANY; START DATE: 03/2018; POSITION/TITLE/RELATIONSHIP: TRUSTEE; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: LLC TO HOLD ASSES FOR ASSET PROTECTION;
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Vernon Leach's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1989
Experience
Current
January 31, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #2: 5129 Castello Dr Ste 2, Naples, FL 34103RIA
CRD#: 105644
Islesboro, ME
Current
January 1, 2004 - Present
CETERA ADVISORS LLC
Office #1: 5129 Castello Dr Ste 2, Naples, FL 34103BD
CRD#: 10299
Naples, FL
Past
January 1, 2004 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
January 15, 2002 - January 1, 2004
IFG ADVISORY SERVICES INC
RIA
CRD#: 105316
NAPLES, FL
Past
November 13, 1992 - January 2, 2004
IFG NETWORK SECURITIES, INC.
BD
CRD#: 19948
ATLANTA, GA
Past
September 19, 1991 - December 31, 1992
PLANNED INVESTMENTS INC.
BD
CRD#: 5066
ATLANTA, GA
Past
March 5, 1987 - September 23, 1991
MONARCH SECURITIES, INC.
BD
CRD#: 2809
Past
July 26, 1985 - March 20, 1987
NEW ENGLAND SECURITIES
BD
CRD#: 615
Past
June 20, 1982 - September 23, 1991
MONARCH SECURITIES, INC.
BD
CRD#: 2809
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(4/17/2025)
RR
District of Columbia(2/7/2022)
RR
Florida(1/1/2004)
IAR
Florida(1/31/2024)
RR
Georgia(1/30/2025)
RR
Idaho(1/4/2022)
RR
Indiana(1/2/2009)
RR
Louisiana(1/10/2006)
RR
Maine(1/1/2004)
IAR
Maine(3/21/2024)
RR
Massachusetts(12/8/2014)
RR
Nevada(1/5/2007)
RR
South Carolina(4/7/2011)
RR
Tennessee(1/1/2004)
RR
Virginia(1/1/2004)
RR
Washington(1/1/2004)
RR
Wisconsin(1/1/2004)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
