DB
Dana J. Baik
CETERA INVESTMENT ADVISERS LLC
MURRIETA, CA
Some features on this profile are disabled
CRD#: 2344849
DB
Professional summary
Dana J Baik, who also goes by Dana Jon Baik, Dana J Balk, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Murrieta, California and CETERA WEALTH SERVICES, LLC located in Murrieta, California.
Dana is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Dana has worked at 9 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dana Jon Baik | Dana J Balk
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: 09/1993; APX NUMBER OF HOURS PER WEEK: None; APX NUMBER OF HOURS DURING TRADING HOURS: None; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG-TERM CARE; 2. NAME OF OTHER BUSINESS: PANACEA PARTNERS, LLC; INVESTMENT RELATED: NO; ADDRESS: 1745 EL RITO AVENUE, GLENDALE, CA 91208; NATURE OF BUSINESS: RENTAL PROPERTY OWNERSHIP; START DATE: 09/2021; POSITION/TITLE/RELATIONSHIP: SOLE MEMBER; APX NUMBER OF HOURS PER WEEK: NONE; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: ENTITY CREATED FOR RENTAL PROPERTY OWNERSHIP; 3. NAME OF OTHER BUSINESS: CREATIVE LIGHT ENTERPRISES - C CORPORATION; INVESTMENT RELATED: NO; ADDRESS: 1745 EL RITO AVENUE, GLENDALE, CA 91208; NATURE OF BUSINESS: REAL ESTATE RENTAL PROPERTIES START DATE: 09/2021; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: NONE; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: NONE; 4. NAME OF OTHER BUSINESS: DANA BAIK - LIVING TRUST; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: RENTAL PROPERTY - VARIOUS PROPERTIES IN NJ AND CA; START DATE: 12/2015; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: OVERSEE PROPERTY MANAGER AND MAKE SURE BILLS ARE PAID; 5. NAME OF OTHER BUSINESS: NEW ENGLAND ECO WASH, LLC; INVESTMENT RELATED: NO ; ADDRESS: 473 HOMESTEAD AVENUE HOLYOKE, MA 01040; NATURE OF BUSINESS: INDUSTRIAL CLEANING; START DATE: 09/2022; POSITION/TITLE/RELATIONSHIP: CFO/MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: MANAGE BANK RELATIONSHIPS AND OVERSEE STAFF WHO PERFORM TREASURY/ACCOUNTING FUNCTIONS; 6. NAME OF OTHER BUSINESS: WESTGATE WEALTH STRATEGIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 12/2022; POSITION/TITLE/RELATIONSHIP: PARTNER; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 40; BRIEF DESCRIPTION OF DUTIES: INSURANCE, SECURITIES, ADVISORY; 7. NAME OF OTHER BUSINESS: BAIK & ASSOCIATES WEALTH MANAGEMENT, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 04/2025, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 8, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Dana J Baik'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®
NoneExperience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
MURRIETA, CA
Current
December 22, 2022 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
MURRIETA, CA
Past
April 10, 2023 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
Glendale, CA
Past
May 19, 2011 - January 8, 2021
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
BD
CRD#: 40178
DENVER, CO
Past
November 12, 2010 - April 21, 2011
METLIFE INVESTORS DISTRIBUTION COMPANY
BD
CRD#: 107622
BLOOMFIELD, CT
Past
April 28, 2010 - September 21, 2010
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
MIDDLETOWN, CT
Past
July 23, 2007 - January 30, 2009
EQUITABLE DISTRIBUTORS, LLC
BD
CRD#: 25900
CHARLOTTE, NC
Past
August 11, 2006 - July 18, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
HARTFORD, CT
Past
August 11, 2006 - July 18, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
HARTFORD, CT
Past
May 23, 2001 - August 16, 2006
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
WEST HARTFORD, CT
Past
April 2, 2001 - August 16, 2006
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
WEST HARTFORD, CT
Past
June 8, 1993 - April 4, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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
California(12/22/2022)
IAR
California(6/29/2023)
RR
Connecticut(12/22/2022)
RR
District of Columbia(2/20/2025)
RR
Maryland(3/18/2024)
RR
Massachusetts(12/22/2022)
RR
New York(3/11/2025)
RR
South Carolina(1/29/2025)
RR
Virginia(2/7/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/7/2022
General Securities Representative ExaminationGeneral 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
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.
