Daniel D. Nardozzi

CETERA INVESTMENT ADVISERS LLC

ST. PETERSBURG, FL 33704

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CRD#: 1274007

Professional summary

Daniel David Nardozzi, who also goes by Dan Nardozzi, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in St. Petersburg, Florida and CETERA INVESTMENT SERVICES LLC located in New Port Richey, Florida.

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 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

Are you a "fiduciary"?

Yes

Aliases

Dan Nardozzi

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel David Nardozzi's CRS (Customer Relationship Summary).

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®

None

Experience

Current

July 31, 2014 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 3505 4th St N, St. Petersburg, FL 33704

RIA

CRD#: 105644

ST. PETERSBURG, FL

Current

July 29, 2014 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 6335 Us Hwy 19, New Port Richey, FL 34652Office #2: 3505 Fourth St N, St Petersburg, FL 33704

CRD#: 15340

New Port Richey, FL

Past

July 11, 2008 - July 23, 2014

BB&T INVESTMENT SERVICES, INC.

RIA

CRD#: 33856

SAINT PETERSBURG, FL

Past

July 7, 2008 - July 23, 2014

BB&T INVESTMENT SERVICES, INC.

CRD#: 33856

SAINT PETERSBURG, FL

Past

January 19, 2006 - June 17, 2008

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

ST. PETERSBURG, FL

Past

February 8, 2005 - June 17, 2008

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. PETERSBURG, FL

Past

October 20, 2004 - November 24, 2004

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

CHARLOTTE, NC

Past

October 20, 2004 - November 24, 2004

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

May 11, 2004 - October 20, 2004

QUICK & REILLY, INC.

RIA

CRD#: 11217

SARASOTA, FL

Past

June 20, 1984 - October 20, 2004

QUICK & REILLY, INC.

CRD#: 11217

NEW YORK, NY

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Alabama
(7/1/2016)

Florida
(7/29/2014)

IAR

Florida
(7/31/2014)

Missouri
(8/7/2019)

North Carolina
(1/11/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/9/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/18/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 8/19/2005

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 6/16/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 4

Date: 10/1/1992

Registered Options Principal Examination

Principal/Supervisory Exam

Series 8

Date: 4/15/1992

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Firm Stability Insights

Daniel D. Nardozzi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel David Nardozzi's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

BB&T INVESTMENT SERVICES, INC.

BB&T INVESTMENT SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

QUICK & REILLY, INC.

QUICK & REILLY, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/9/1999

Series 63

Date: 6/18/1992

SIE

Date: 10/1/2018

Series 3

Date: 8/19/2005

Series 7

Date: 6/16/1984

Series 10

Date: 1/2/2023

Series 9

Date: 1/2/2023

Series 4

Date: 10/1/1992

Series 8

Date: 4/15/1992

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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