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Daniel Raymond Cuddy

CFP®
KESTRA ADVISORY SERVICES
Auburn, NY
·CRD# 2286154·34 years experience

Professional Summary

Daniel Raymond Cuddy, CFP® is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Auburn, New York and KESTRA INVESTMENT 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 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Credentials

CFP®
Certified Financial PlannerSince 1993

Years of Experience

34 years in the financial services industry

Current & Past Employments

KESTRA ADVISORY SERVICES, LLC·CRD# 283330
RIA
7 William Street, Auburn, NY 13021
September 30, 2026 - Present
KESTRA INVESTMENT SERVICES, LLC·CRD# 42046
BD
7 William St, Auburn, NY 13021
September 30, 2026 - Present
CETERA INVESTMENT ADVISERS LLC·CRD# 105644
RIA
Auburn, NY
September 5, 2025 - October 2, 2026
CETERA WEALTH SERVICES, LLC·CRD# 13572
BD
Auburn, NY
September 5, 2025 - October 2, 2026
AVANTAX ADVISORY SERVICES·CRD# 104556
RIA
Auburn, NY
July 18, 2021 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.·CRD# 13686
BD
Auburn, NY
November 12, 1992 - September 5, 2025

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Current Firm

KA
KESTRA ADVISORY SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - SEC (12/31/1998 Approved)

Contact Information

Main Address

5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735

Phone Number

(844) 553-7872

# of Employees

1,359

SEC notice filing (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

KESTRA ADVISORY SERVICES, LLC BROCHURE (RETAIL CLIENTS) (9/22/2026)

Regulatory Assets Under Management

Total Number of Accounts

192,439

AUM (Assets Under Management)

$79,798,091,767

Accountant Surprise Examination Report

Filing DateForm ADV-E CoverForm ADV-E Report
12/01/2025Cover PageReport
12/23/2024Cover PageReport
10/20/2023Cover PageReport

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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.

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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".
KA
KESTRA ADVISORY SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - SEC (12/31/1998 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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
California
(9/30/2026)
RR
Delaware
(9/30/2026)
RR
Florida
(9/30/2026)
RR
Georgia
(10/1/2026)
RR
Maryland
(9/30/2026)
RR
Massachusetts
(10/1/2026)
IAR
New York
(9/30/2026)
RR
Puerto Rico
(9/30/2026)
RR
Tennessee
(9/30/2026)
RR
Texas
(9/30/2026)
IAR
Texas
(9/30/2026)
RR
Washington
(9/30/2026)

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.Note:This rule does not apply to broker-dealer activity.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Nov 1992About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Nov 2004About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Nov 1992About the Series 6 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Daniel Raymond Cuddy's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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