Daniel E. Dodgen
CETERA INVESTMENT ADVISERS LLC
COSTA MESA, CA 92626
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CRD#: 2071798
Professional summary
Daniel Ethan Dodgen, CFP®, ChFC®, CLU®, who also goes by Daniel Eathan Dodgen, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Costa Mesa, California and SOVRAN ADVISORS, LLC located in Costa Mesa, California.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Daniel has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9, Series 10 and Series 24 exams.
Question & Answer
What are your service offerings?
Retirement Planning
Employee and Employer Plan Ben...
Social Security Planning
Comprehensive Financial Planni...
Insurance Planning
Estate Planning
Business Succession Planning
Retirement Income Management
Investment Planning
Tax Planning
Long-term Care
What is your minimum asset requirement?
1
Are you a "fiduciary"?
Yes
Aliases
Daniel Eathan Dodgen
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: 06/1990; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 2. NAME OF OTHER BUSINESS: SOVRAN ADVISORS LLC - CRD 329415; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: SEC REGISTERED INVESTMENT ADVISORY FIRM; POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISOR REPRESENTATIVE; START DATE: 02/2024; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 40; BRIEF DESCRIPTION OF DUTIES: 3(38) SERVICES, FINANCIAL PLANNING AND ASSET MANAGEMENT; 3. NAME OF OTHER BUSINESS: D E DODGEN FINANCIAL ADVICE; INVESTMENT RELATED: NO; ADDRESS: IRVINE, CA 92618; NATURE OF BUSINESS: CORPORATION FOR BUSINESS TAX PURPOSES; START DATE: 01/2023; POSITION/TITLE/RELATIONSHIP: PRESIDENT, CEO; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: RUNNING ALL ACCOUNTING OF SECURITIES, INSURANCE AND ADVISORY INCOME THROUGH THIS ENTITY; 4. NAME OF OTHER BUSINESS: DIRECTPATH PLANNING INVESTMENTS INSURANCE SOLUTIONS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 12/2021; POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR; APX NUMBER OF HOURS PER WEEK: 50; APX NUMBER OF HOURS DURING TRADING HOURS: 40; BRIEF DESCRIPTION OF DUTIES: FINANCIAL ADVICE. I AM THE TEAM LEAD SO OVERSEEING BUSINESS OPERATIONS; 5. NAME OF OTHER BUSINESS: OWEN CARE USA; INVESTMENT RELATED: NO; ADDRESS: 9701 WILSHIRE BLVD, 10TH FL #582, BEVERLY HILLS, CA 90212; NATURE OF BUSINESS: BOARD; START DATE: 2/2024; POSITION/TITLE/RELATIONSHIP: TREASURER; APX NUMBER OF HOURS PER WEEK: 3; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: ATTEND BOARD MEETINGS, FINANCIAL REPORTING & COMPLIANCE; 6. NAME OF OTHER BUSINESS: OWEN CARE INC; INVESTMENT RELATED: NO, ADDRESS: 9701 WILSHIRE BOULEVARD, 10TH FLOOR #582, BEVERLY HILLS, CA 90212, NATURE OF BUSINESS: NON-PROFIT, START DATE: 10/2024, POSITION/TITLE/RELATIONSHIP: TREASURER, APX NUMBER OF HOURS PER WEEK: 3, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: OVERSEE THE CHARITY'S NON INVESTMENT FINANCIAL ASPECTS;
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Ethan Dodgen'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®
CFP®
Start date: 2000
Experience
Current
February 22, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 3200 Park Center Dr Ste 1240, Costa Mesa, CA 92626RIA
CRD#: 105644
COSTA MESA, CA
Current
February 23, 2024 - Present
SOVRAN ADVISORS, LLC
Office #1: 3200 Park Center Dr. Suite 1240, Costa Mesa, CA 92626RIA
CRD#: 329415
Costa Mesa, CA
Current
February 22, 2024 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 3200 Park Center Dr Ste 1240, Costa Mesa, CA 92626BD
CRD#: 13572
Costa Mesa, CA
Past
March 25, 2017 - March 6, 2024
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
Costa Mesa, CA
Past
March 25, 2017 - March 6, 2024
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Costa Mesa, CA
Past
April 14, 2014 - January 2, 2015
NEW ENGLAND SECURITIES
BD
CRD#: 615
FOSTER CITY, CA
Past
July 15, 2002 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
SAN JOSE, CA
Past
June 21, 2002 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
IRVINE, CA
Past
June 21, 2002 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SAN JOSE, CA
Past
February 9, 2000 - June 19, 2002
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
SAN DIEGO, CA
Past
September 10, 1990 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
September 10, 1990 - June 19, 2002
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
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(3/7/2024)
RR
California(2/23/2024)
IAR
California(2/23/2024)
RR
Colorado(2/23/2024)
RR
Connecticut(2/22/2024)
RR
Florida(2/23/2024)
RR
Hawaii(5/8/2024)
RR
Idaho(2/23/2024)
RR
Michigan(2/26/2024)
RR
Missouri(9/27/2024)
RR
Montana(2/27/2024)
RR
Nevada(2/23/2024)
RR
New Mexico(2/27/2024)
RR
North Carolina(3/7/2024)
RR
Ohio(2/22/2024)
RR
Oregon(2/26/2024)
RR
Puerto Rico(3/18/2024)
RR
South Carolina(2/29/2024)
IAR
Texas(2/22/2024)
RR
Texas(2/23/2024)
RR
Utah(2/22/2024)
RR
Virginia(2/23/2024)
RR
Washington(3/7/2024)
RR
Wisconsin(2/22/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
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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 |
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.
