DM
Daniel F. Mccarthy
CETERA INVESTMENT ADVISERS LLC
HARTFORD, CT 06103
Some features on this profile are disabled
CRD#: 1303361
DM
Professional summary
Daniel Francis Mccarthy, AIF®, who also goes by Dan Mcarthy, Dan Mccarthy, Danny Mccarthy, Danny Mccathy, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Hartford, Connecticut and MML INVESTORS SERVICES, LLC located in Hartford, Connecticut.
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 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dan Mcarthy | Dan Mccarthy | Danny Mccarthy | Danny Mccathy
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. FIXED INSURANCE WITH VARIOUS COMPANIES,
INVESTMENT RELATED,
SAME AS REGISTERED ADDRESS,
FIXED INSURANCE,
START 03/2010,
36HRS/WK (32.5 TRADING HOURS),
INSURANCE AGENT - SELLS LIFE, DISABILITY, ANNUITIES, AND LONG-TERM CARE;
2. NAME OF OTHER BUSINESS: CM SMITH AGENCY, INC - A MEMBER OF ALERA GROUP;
INVESTMENT RELATED: YES;
ADDRESS: SAME AS REGISTERED LOCATION;
NATURE OF BUSINESS: INSURANCE AND FINANCIAL SERVICES;
START DATE: 01/2019;
POSITION/TITLE/RELATIONSHIP: PARTNER;
APX NUMBER OF HOURS PER WEEK: 40;
APX NUMBER OF HOURS DURING TRADING HOURS: 32.5;
BRIEF DESCRIPTION OF DUTIES: SALE AND SERVICE OF INSURANCE AND INVESTMENT PRODUCTS;
3. NAME OF OTHER BUSINESS: CM SMITH FINANCIAL - AN ALERA GROUP COMPANY;
INVESTMENT RELATED: YES;
ADDRESS: SAME AS REGISTERED LOCATION;
NATURE OF BUSINESS: INSURANCE AND FINANCIAL SERVICES;
START DATE: 04/2019;
POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR;
APX NUMBER OF HOURS PER WEEK: 40;
APX NUMBER OF HOURS DURING TRADING HOURS: 32.5;
BRIEF DESCRIPTION OF DUTIES: SALES AND SERVICE OF INSURANCE AND INVESTMENT PRODUCTS;
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Francis Mccarthy'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®
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 10 State House Fl 11, Hartford, CT 06103RIA
CRD#: 105644
HARTFORD, CT
Current
March 1, 1996 - Present
MML INVESTORS SERVICES, LLC
Office #1: 100 Pearl St 3rd Fl, West Tower, Hartford, CT 06103RIA
BD
CRD#: 10409
Hartford, CT
Current
April 2, 2014 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 100 Pearl St 3rd Fl West Tower, Hartford, CT 06103BD
CRD#: 13572
Hartford, CT
Past
April 23, 2014 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
February 24, 2000 - August 17, 2021
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
GLASTONBURY, CT
Past
April 6, 1994 - December 6, 1995
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
EL SEGUNDO, CA
Past
January 14, 1988 - March 1, 1996
G. R. PHELPS & CO., INC.
BD
CRD#: 173
Past
November 23, 1984 - December 11, 1987
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
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
Arizona(4/22/2015)
RR
California(4/22/2015)
RR
Colorado(4/22/2015)
RR
Connecticut(3/1/1996)
IAR
Connecticut(6/29/2023)
RR
District of Columbia(4/22/2015)
RR
Florida(2/27/2014)
RR
Georgia(4/22/2015)
RR
Hawaii(4/22/2015)
RR
Illinois(4/22/2015)
RR
Iowa(9/14/2015)
RR
Kansas(4/22/2015)
RR
Louisiana(4/22/2015)
RR
Maine(4/22/2015)
RR
Maryland(4/22/2015)
RR
Massachusetts(5/4/2015)
RR
Michigan(4/22/2015)
RR
Minnesota(4/22/2015)
RR
New Hampshire(4/22/2015)
RR
New Jersey(4/22/2015)
RR
New Mexico(1/3/2019)
RR
New York(11/8/2005)
RR
North Carolina(5/4/2015)
RR
Ohio(4/22/2015)
RR
Oregon(4/22/2015)
RR
Pennsylvania(4/22/2015)
RR
Rhode Island(4/22/2015)
IAR
Rhode Island(5/2/2025)
RR
South Carolina(4/22/2015)
RR
Texas(4/22/2015)
IAR
Texas(6/29/2023)
RR
Vermont(4/22/2015)
RR
Virginia(5/4/2015)
RR
Washington(4/22/2015)
RR
Wisconsin(4/22/2015)
Exams
State Security Law Exam
State Security Law 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
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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)
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.
