DC
Daniel R. Cuddy
CETERA INVESTMENT ADVISERS LLC
AUBURN, NY 13021
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CRD#: 2286154
DC
Professional summary
Daniel Raymond Cuddy, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Auburn, New York and CETERA WEALTH SERVICES, LLC located in Auburn, New York.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Daniel has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 6 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.
1) Champions for Life Grant Ave Auburn NY 13021 Board Position/Officer Other~9/1/2012 4hrs~0hrs I am an existing Board Member and the Secretary. I also serve on the Executive and Finance Committees. 2) DANIEL R. CUDDY, CPA,LLC POSITION: Tax Preparation/Accounting NATURE: Accounting Services/Tax Preparation INVESTMENT RELATED: No NUMBER OF HOURS: 90 SECURITIES TRADING HOURS: 70 START DATE: 05/01/1996 ADDRESS: 7 William Street, Auburn NY 13021, United States DESCRIPTION: Meeting with Tax clients for tax planning engagements and also preparation of personal & business tax returns. 3) CUDDY FINANCIAL SERVICES POSITION: Owner/Sole Proprietor NATURE: Accounting Services/Tax Preparation INVESTMENT RELATED: No NUMBER OF HOURS: 90 SECURITIES TRADING HOURS: 70 START DATE: 08/01/2003 ADDRESS: 7 William Street, Auburn NY 13021, United States DESCRIPTION: All necessary duties to complete tax returns for my clients. 4) CHAMPIONS FOR LIFE POSITION: Member of the Board of Directors NATURE: Champions for life is not for profit that focuses on character formation for children through sports. The main focus of the organization is for children and values based on education through competitive sports to teach the lessons that will endure a lifetime. No fundraising was done this past two years. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2012 ADDRESS: 453 Grant Ave Road, Auburn NY 13021, United States DESCRIPTION: Board Member- as a board member I attend bi- monthly board meetings and also serve on the Finance Committee which meets twice a year. I do not give advice on investment.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Raymond Cuddy'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: 1993
Experience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 7 William Street, Auburn, NY 13021RIA
CRD#: 105644
AUBURN, NY
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 7 William Street, Auburn, NY 13021BD
CRD#: 13572
AUBURN, NY
Past
July 18, 2021 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Auburn, NY
Past
November 12, 1992 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
AUBURN, 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(9/5/2025)
RR
California(9/5/2025)
RR
Colorado(9/5/2025)
RR
Connecticut(9/5/2025)
RR
Delaware(9/5/2025)
RR
District of Columbia(9/5/2025)
RR
Florida(9/5/2025)
RR
Georgia(9/5/2025)
RR
Illinois(9/5/2025)
RR
Kentucky(9/5/2025)
RR
Maryland(9/5/2025)
RR
Massachusetts(9/5/2025)
RR
Minnesota(9/5/2025)
RR
Nebraska(9/5/2025)
RR
New Hampshire(9/5/2025)
RR
New Jersey(9/5/2025)
RR
New York(9/5/2025)
IAR
New York(9/5/2025)
RR
North Carolina(9/5/2025)
RR
Ohio(9/5/2025)
RR
Pennsylvania(9/5/2025)
RR
South Carolina(9/5/2025)
RR
Tennessee(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Virginia(9/5/2025)
RR
Washington(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Auburn, NY 13021TRUST BUT VERIFY
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