Daniel Koller
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 Koller JR, who also goes by Dan Koller, Daniel Jr Koller, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1986. Daniel had worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 14, 2017 - July 6, 2026
CETERA INVESTMENT ADVISERS LLC
July 14, 2017 - July 6, 2026
CETERA INVESTMENT SERVICES LLC
August 9, 2012 - July 20, 2017
LPL FINANCIAL LLC
August 9, 2012 - July 20, 2017
LPL FINANCIAL LLC
January 20, 2006 - June 28, 2012
FIFTH THIRD SECURITIES, INC.
February 14, 2005 - June 28, 2012
FIFTH THIRD SECURITIES, INC.
January 1, 2004 - February 28, 2005
PNC WEALTH MANAGEMENT LLC
January 1, 2004 - February 28, 2005
PNC WEALTH MANAGEMENT LLC
June 9, 2003 - January 1, 2004
J.J.B. HILLIARD, W.L. LYONS, LLC
April 21, 1999 - January 1, 2004
J.J.B. HILLIARD, W.L. LYONS, LLC
December 23, 1994 - April 21, 1999
PNC BROKERAGE CORP
October 9, 1989 - December 23, 1994
PNC CAPITAL MARKETS LLC
July 15, 1987 - October 14, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 24, 1986 - June 17, 1987
BLINDER, ROBINSON & CO., 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
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.
