DD
Douglas R. Daniels
CETERA INVESTMENT ADVISERS LLC
Las Vegas, NV 89113
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CRD#: 2018839
DD
Professional summary
Douglas Ried Daniels, who also goes by Doug Daniels, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Las Vegas, Nevada and CETERA WEALTH SERVICES, LLC located in Sandy, Utah.
Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Douglas has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Doug Daniels
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. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 09/2004; APX NUMBER OF HOURS PER WEEK: 4; APX NUMBER OF HOURS DURING TRADING HOURS: 4; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, DISABILITY, ANNUITIES AND LONG-TERM CARE; 2. NAME OF OTHER BUSINESS: PEAK FINANCIAL NETWORK SOLUTIONS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 02/2021; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 40; BRIEF DESCRIPTION OF DUTIES: PROVIDING OPERATION SUPPORT AND BROKERAGE SUPPORT TO CLIENTS; 3. NAME OF OTHER BUSINESS: N/A - DOUGLAS DANIELS; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION: NATURE OF BUSINESS: INSURANCE SERVICES; START DATE: 11/2023; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: SELLING MEDICARE HEALTH INSURANCE; 4. NAME OF OTHER BUSINESS: UNIFIED FINANCIAL PLANNING, INVESTMENT RELATED: YES, ADDRESS: 2656 S 575 W, SYRACUSE, UT 84075, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 01/2024, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Douglas Ried Daniels'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®
NoneExperience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 8395 West Sunset Rd, Las Vegas, NV 89113Office #2: 394 E Moana Ln #1, Reno, NV 89502Office #3: 12538 Creek Meadow Rd, Riverton, UT 84065Office #4: 110 E Harmon Ave, Las Vegas, NV 89109Office #5: 9260 S 300 E, Sandy, UT 84070RIA
CRD#: 105644
Las Vegas, NV
Current
February 11, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 9260 S 300 E, Sandy, UT 84070Office #2: 100 S Valley View Blvd, Las Vegas, NV 89107BD
CRD#: 13572
Sandy, UT
Past
February 11, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
LAS VEGAS, NV
Past
September 15, 2017 - December 8, 2020
CUSO FINANCIAL SERVICES, L.P.
RIA
CRD#: 42132
Salt Lake City, UT
Past
September 12, 2017 - December 8, 2020
CUSO FINANCIAL SERVICES, L.P.
BD
CRD#: 42132
Salt Lake City, UT
Past
September 22, 2015 - August 11, 2017
LPL FINANCIAL LLC
RIA
CRD#: 6413
SALT LAKE CITY, UT
Past
September 22, 2015 - August 11, 2017
LPL FINANCIAL LLC
BD
CRD#: 6413
SALT LAKE CITY, UT
Past
January 14, 2015 - September 21, 2015
CUSO FINANCIAL SERVICES, L.P.
RIA
CRD#: 42132
Clearfield, UT
Past
January 14, 2015 - September 21, 2015
CUSO FINANCIAL SERVICES, L.P.
BD
CRD#: 42132
Clearfield, UT
Past
November 29, 2005 - January 14, 2015
CUNA BROKERAGE SERVICES, INC.
RIA
CRD#: 13941
CLEARFIELD, UT
Past
April 28, 2004 - January 14, 2015
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
CLEARFIELD, UT
Past
March 8, 1990 - October 31, 2002
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
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(2/19/2025)
RR
California(6/27/2024)
RR
Idaho(4/19/2021)
RR
Nevada(2/17/2021)
IAR
Nevada(6/29/2023)
RR
South Dakota(2/11/2021)
RR
Utah(2/11/2021)
IAR
Utah(6/29/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
