Daniel G. Deloria
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Daniel Gerard Deloria, CFP® was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1993. Daniel had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 6, 2025 - November 28, 2025
CETERA INVESTMENT ADVISERS LLC
August 22, 2024 - November 28, 2025
CETERA WEALTH SERVICES, LLC
August 22, 2024 - November 28, 2025
CETERA INVESTMENT SERVICES LLC
August 22, 2024 - November 28, 2025
CETERA FINANCIAL SPECIALISTS LLC
August 22, 2024 - November 28, 2025
CETERA ADVISORS LLC
December 1, 2021 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
July 9, 2021 - September 8, 2025
AVANTAX ADVISORY SERVICES
September 9, 2016 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
March 21, 2014 - December 26, 2017
MML INVESTORS SERVICES, LLC
April 11, 2003 - February 25, 2014
USI SECURITIES, INC.
April 11, 2003 - February 25, 2014
USI SECURITIES, INC.
February 21, 2003 - March 17, 2003
WS GRIFFITH SECURITIES, INC.
July 6, 1999 - March 17, 2003
WS GRIFFITH SECURITIES, INC.
August 16, 1996 - July 6, 1999
VP DISTRIBUTORS LLC
March 28, 1994 - July 3, 1995
CONSECO SECURITIES, INC.
January 27, 1993 - March 28, 1994
SHAWMUT BROKERAGE, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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.
