Daniel J. Kennedy
Professional summary
Daniel Joe Kennedy, CFP®, who also goes by Dan Kennedy, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Huntington, Indiana and CETERA ADVISORS LLC located in Huntington, Indiana.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Daniel has worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Joe Kennedy's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2003
Experience
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
January 1, 2004 - Present
CETERA ADVISORS LLC
January 1, 2004 - March 21, 2024
CETERA ADVISORS LLC
September 16, 1999 - January 1, 2004
VESTAX SECURITIES CORPORATION
June 8, 1998 - January 1, 2004
VESTAX SECURITIES CORPORATION
August 1, 1995 - June 12, 1998
VOYA FINANCIAL ADVISORS, INC.
December 1, 1990 - August 1, 1995
RELIASTAR FINANCIAL MARKETING CORP.
May 30, 1990 - November 14, 1990
ONEAMERICA SECURITIES, INC.
May 30, 1990 - November 14, 1990
AMERICAN UNITED LIFE INSURANCE COMPANY
November 19, 1989 - May 8, 1990
OSAIC WEALTH, INC.
October 30, 1987 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
October 30, 1987 - May 25, 1990
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
April 24, 1987 - April 24, 1987
PTX SECURITIES, LLC
March 25, 1987 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
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
(5/11/2004)
(1/1/2004)
(1/1/2004)
(1/1/2004)
(1/1/2004)
(3/21/2024)
(11/29/2023)
(6/1/2023)
(1/4/2018)
(1/1/2004)
(10/21/2016)
(1/6/2014)
(1/1/2004)
(1/6/2017)
(3/17/2021)
(9/29/2020)
(1/4/2018)
(5/18/2011)
(1/3/2023)
(3/21/2024)
(1/3/2017)
(1/8/2018)
(1/4/2018)
Exams
FINRA
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 | ||
| 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.
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