Daniel D. Nardozzi
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Daniel David Nardozzi, who also goes by Dan Nardozzi, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1984. Daniel had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 10, Series 9, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 31, 2014 - April 14, 2026
CETERA INVESTMENT ADVISERS LLC
July 29, 2014 - April 14, 2026
CETERA INVESTMENT SERVICES LLC
July 11, 2008 - July 23, 2014
BB&T INVESTMENT SERVICES, INC.
July 7, 2008 - July 23, 2014
BB&T INVESTMENT SERVICES, INC.
January 19, 2006 - June 17, 2008
WELLS FARGO CLEARING SERVICES, LLC
February 8, 2005 - June 17, 2008
WELLS FARGO CLEARING SERVICES, LLC
October 20, 2004 - November 24, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - November 24, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 11, 2004 - October 20, 2004
QUICK & REILLY, INC.
June 20, 1984 - October 20, 2004
QUICK & REILLY, INC.
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
Exams
Series 8
Date: 4/15/1992
General Securities Sales Supervisor Examination (Options Module & General Module)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 |
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.
