Daniel K. Speirs

CERRO PACIFIC WEALTH ADVISORS

San Luis Obispo, CA 93401

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CRD#: 2170094

Professional summary

Daniel Keith Speirs is a registered financial advisor currently at CERRO PACIFIC WEALTH ADVISORS, LLC located in San Luis Obispo, California.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Daniel has worked at 4 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

CO-TRUSTEE FOR FATHER 2 ACCOUNTS; INVESTMENT RELATED; SOLVANG, CA; START DATE 1/1/08; 2 HRS MONTH. RENTAL PROPERTY; INVESTMENT RELATED; SAN LUIS OBISPO, CA; 100% OWNERSHIP WITH SPOUSE; START DATE = 05/01/13; 5 HOURS DEVOTED PER MONTH; 3 DURING TRADING HOURS. RENTAL PROPERTY; INVESTMENT RELATED; SAN LUIS OBISPO, CA; 100% OWNERSHIP WITH SPOUSE; CONDO; START DATE = 11/01/13; 2 HOURS DEVOTED PER MONTH; 0 DURING TRADING HOURS. RENTAL PROPERTY; INVESTMENT RELATED; PISMO BEACH, CA; CO-OWNER; START DATE 5/2013; 10 HRS PER MONTH; 0 HRS DURING TRADING. RENTAL PROPERTY; INV. RELATED; SAN LUIS OBISPO, CA; CO-OWNER; START DATE 7/20/2017; 2 HOURS PER MONTH; 0 HRS DURING TRADING; DUTIES: OWNER/PROPERTY MANAGER.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Keith Speirs'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

October 16, 2020 - Present

CERRO PACIFIC WEALTH ADVISORS, LLC

Office #1: 733 Marsh St. Suite #110, San Luis Obispo, CA 93401

RIA

CRD#: 310825

San Luis Obispo, CA

Past

September 25, 2009 - October 26, 2020

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SAN LUIS OBISPO, CA

Past

September 24, 2009 - October 26, 2020

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SAN LUIS OBISPO, CA

Past

May 1, 2002 - October 2, 2009

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

SAN LUIS OBISPO, CA

Past

March 9, 2002 - October 2, 2009

RBC CAPITAL MARKETS, LLC

CRD#: 31194

SAN LUIS OBISPO, CA

Past

March 7, 2002 - March 9, 2002

SUTRO & CO. INCORPORATED

CRD#: 801

SAN FRANCISCO, CA

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".

CERRO PACIFIC WEALTH ADVISORS, LLC

CERRO PACIFIC WEALTH ADVISORS, LLC | PLACEHOLDER LLC

CRD#: 310825 / SEC#: 801-119640

RIA

Registered Investment Advisory firm - (10/16/2020 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.

Highlighted states indicate IAR registrations

IAR

California
(10/16/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/25/2002

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/29/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/6/2002

General Securities Representative Examination

Current Firm

CERRO PACIFIC WEALTH ADVISORS, LLC

CERRO PACIFIC WEALTH ADVISORS, LLC | PLACEHOLDER LLC

CRD#: 310825 / SEC#: 801-119640

RIA

Registered Investment Advisory firm - (10/16/2020 Approved)

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Contact information

Main Address

733 Marsh St. Suite #110, San Luis Obispo, CA 93401

Mailing Address

Phone number

(805) 457-3300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE - CERRO PACIFIC WEALTH ADVISORS (10/3/2025)

Regulatory assets under management

Total Number of Accounts	846
AUM (Assets Under Management)	$ 558,119,008

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.

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Advisor Monitoring

Firm Stability Insights

Daniel K. Speirs

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Keith Speirs's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

SUTRO & CO. INCORPORATED

Primary Firm SEC Registration

CERRO PACIFIC WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/25/2002

Series 7TO

Date: 3/29/2024

SIE

Date: 10/1/2018

Series 7

Date: 3/6/2002

Current Firm

CERRO PACIFIC WEALTH ADVISORS, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CERRO PACIFIC WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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