DE
Danny R. Elser
CETERA WEALTH SERVICES
Billings, MT 59102
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CRD#: 1170995
DE
Professional summary
Danny Ray Elser, who also goes by Dan Elser, is a registered financial professional currently at CETERA WEALTH SERVICES, LLC located in Billings, Montana.
Danny is registered as a RR (Registered Representative) and started their career in finance in 1983. Danny has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Dan Elser
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. NAME OF ENTITY:MT USAW; No; ; BILLINGS; MT; ; YOUTH WRESTLING; COACH/CULTURAL EXCHANGE CHAIRMAN; 10/29/2014; 8; 0; COACH YOUTH WRESTLING PRACTICES AND TOURNEY'S, OVERSEE THE CULTURAL EXCHANGE FOR MT USAW/AAU. 2. NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 1844 BROADWATER AVE STE 5; BILLING; MT; 59102; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 6/20/2005; 32; 32; SALES OF FIXED INSURANCE PRODUCTS 3. NAME OF ENTITY:FIRST AMERICAN TRUST OF MT; Yes; 1844 BROADWATER AVE STE 5; BILLING; MT; 59102; FINANCIAL SERVICES/DBA; OWNER; 10/1/2003; 160; 160; SALE AND SERVICE INSURANCE, SECURITIES AND INVESTMENT PRODUCTS 4. NAME OF OTHER BUSINESS: MANN MORTGAGE; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: MORTGAGE REFERRALS; START DATE: 2007; POSITION/TITLE/RELATIONSHIP: REFERRER; APX NUMBER OF HOURS PER WEEK: VARIES; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: REFER CLIENTS TO MANN MORTGAGE;
CRS (Client Relationship Summary) - BD
Click below to view Danny Ray Elser'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®
NoneExperience
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 3936 Avenue B Suite A, Billings, MT 59102BD
CRD#: 13572
Billings, MT
Past
June 29, 2023 - December 31, 2024
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
Billings, MT
Past
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
BILLINGS, MT
Past
April 11, 2006 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
BILLINGS, MT
Past
July 5, 2005 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
BILLINGS, MT
Past
August 3, 2004 - July 1, 2005
THE INVESTMENT CENTER, INC.
RIA
CRD#: 17839
BILLINGS, MT
Past
July 27, 2004 - July 1, 2005
THE INVESTMENT CENTER, INC.
BD
CRD#: 17839
BEDMINSTER, NJ
Past
September 19, 2000 - March 30, 2004
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
BILLINGS, MT
Past
April 14, 1987 - March 30, 2004
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
Past
August 20, 1986 - April 22, 1987
PRINCETON AMERICAN EQUITIES CORPORATION
BD
CRD#: 14491
Past
November 21, 1983 - August 12, 1986
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Montana(6/9/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CW
CETERA WEALTH SERVICES, LLC
CETERA ADVISOR NETWORKS LLC | GORDON SIMMERS SECURITY CORPORATION | FIRST ASSET MANAGEMENT CORPORATION | FINANCIAL NETWORK INVESTMENT CORPORATION | CETERA WEALTH SERVICES, LLC | CETERA NETWORKS
CRD#: 13572 / SEC#: 801-47342, 8-29577
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
2301 Rosecrans Ave #5100 Suite 5100, El Segundo, CA 90245-5672
Mailing Address
Po Box 983, Saint Cloud, MN 56302
Phone number
(800) 879-8100
Established
Delaware since 12/31/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
2,881
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 4710068 |
| COAXUM, KOFI SULE | VICE PRESIDENT | 5150018 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| GOOLEY, THOMAS ANDREW | MANAGER | 4526760 |
| HALLORAN, THOMAS WILLIAM | VICE PRESIDENT | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 5059176 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | PRESIDENT AND MANAGER | 2272183 |
| STONE, TIMOTHY PATRICK | VICE PRESIDENT | 3038963 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WATTS, ANDREW DAVID | VICE PRESIDENT | 4780880 |
Regulatory assets under management
| Total Number of Accounts | 192,956 |
| AUM (Assets Under Management) | $ 46,651,447,975 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 2 |
| Arbitration | 15 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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Company Information
CETERA WEALTH SERVICES, LLC
CRD#: 13572Billings, MT 59102TRUST BUT VERIFY
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Contact information
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