Daniel R. Chen
Professional summary
Daniel Romero Chen, who also goes by Daniel R Chen, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Eatontown, New Jersey and CETERA ADVISORS LLC located in Eatontown, New Jersey.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Daniel has worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 52 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Romero Chen's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 99 Corbett Way Ste 103, Eatontown, NJ 07724January 1, 2004 - Present
CETERA ADVISORS LLC
Office #1: 12 Christoper Wy Ste 200, Eatontown, NJ 07724January 1, 2004 - March 21, 2024
CETERA ADVISORS LLC
October 31, 2003 - March 25, 2009
ROCKDALE FINANCIAL SERVICES, INC.
October 24, 2002 - January 1, 2004
VESTAX SECURITIES CORPORATION
June 9, 1998 - January 1, 2004
VESTAX SECURITIES CORPORATION
February 21, 1997 - June 2, 1998
AMERICAN CAPITAL CORPORATION
December 24, 1996 - March 1, 1999
TULLETT & TOKYO SECURITIES, INC.
February 22, 1993 - September 30, 1996
CANTOR FITZGERALD SECURITIES
June 3, 1991 - January 6, 1993
TULLETT LIBERTY BROKERAGE INC.
February 28, 1991 - April 22, 1991
FUNDAMENTAL BROKERS
May 11, 1990 - February 28, 1991
FUNDAMENTAL BROKERS
January 25, 1989 - April 30, 1990
ICAP SECURITIES USA LLC
February 17, 1984 - February 26, 1985
CHAPDELAINE TULLETT PREBON, LLC
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/1/2004)
(1/1/2004)
(1/1/2004)
(1/1/2004)
(3/21/2024)
(1/3/2017)
(5/4/2015)
Exams
FINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Eatontown, NJ 07724TRUST BUT VERIFY
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