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DL

Daniel W. Leatherman

CETERA INVESTMENT ADVISERS LLC
PARKVILLE, MD
Some features on this profile are disabled
CRD#: 1487444
DL

Professional summary

Daniel William Leatherman, who also goes by Daniel W Leatherman, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Parkville, Maryland and CETERA WEALTH SERVICES, LLC located in Baltimore, Maryland.

Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Daniel has worked at 13 firms and has passed the Series 66, SIE, Series 7 and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Daniel W Leatherman

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) Leatherman Financial Services~'IR'~2416 Lakewood Road~Baltimore~MD~21234~Accounting Services/Tax Preparation~Owner~1/1/2006~160hrs~130hrs~tax return preparation; bookkeeping and accounting; individual and small business consultation on record keeping and related processes; provide insurance, investment products, advisory services, financial planning and conducts regular periodic meetings with clients to stay in touch with their needs and discuss their progress toward their goals.|

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel William Leatherman'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

September 5, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
PARKVILLE, MD
Current

September 5, 2025 - Present

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
BALTIMORE, MD
Past

August 15, 2012 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA
CRD#: 104556
PARKVILLE, MD
Past

July 23, 2012 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
BALTIMORE, MD
Past

March 2, 2007 - October 10, 2011

GLOBAL BROKERAGE SERVICES, INC.

BD
CRD#: 37505
HUNT VALLEY, MD
Past

February 21, 2007 - October 10, 2011

GLOBAL BROKERAGE SERVICES, INC.

RIA
CRD#: 37505
PARKVILLE, MD
Past

January 5, 2005 - April 20, 2005

FBR INVESTMENT MANAGEMENT, INC.

RIA
CRD#: 108883
ARLINGTON, VA
Past

July 25, 2003 - April 1, 2005

B. RILEY SECURITIES, INC.

BD
CRD#: 25027
LOS ANGELES, CA
Past

August 22, 2002 - July 25, 2003

FERRIS, BAKER WATTS, LLC

RIA
CRD#: 285
SILVER SPRING, MD
Past

August 22, 2002 - July 25, 2003

FERRIS, BAKER WATTS, LLC

BD
CRD#: 285
BALTIMORE, MD
Past

February 28, 2002 - June 19, 2002

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
OWING MILLS, MD
Past

January 22, 2002 - June 19, 2002

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

January 22, 2002 - June 19, 2002

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN
Past

January 13, 2001 - March 1, 2001

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

September 1, 1997 - January 13, 2001

DB ALEX. BROWN LLC

BD
CRD#: 17790
BALTIMORE, MD
Past

October 17, 1994 - September 1, 1997

ALEX. BROWN & SONS INCORPORATED

BD
CRD#: 20

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
Maryland
(9/5/2025)
IAR
Maryland
(9/5/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/21/2002
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/15/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 10/12/1994
Financial and Operations Principal Examination
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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644Parkville, MD

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