Daniel J. Munro
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 James Munro, who also goes by Dan Munro, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1993. Daniel had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 4, 2022 - September 22, 2023
CETERA INVESTMENT ADVISERS LLC
April 1, 2022 - September 22, 2023
CETERA INVESTMENT SERVICES LLC
November 5, 2020 - April 20, 2021
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
November 3, 2020 - April 20, 2021
CAMBRIDGE INVESTMENT RESEARCH, INC.
September 18, 2013 - October 20, 2016
LPL FINANCIAL LLC
September 18, 2013 - October 20, 2016
LPL FINANCIAL LLC
August 1, 2013 - September 18, 2013
FIRSTMERIT ADVISORS, INC.
July 31, 2013 - September 18, 2013
FIRSTMERIT FINANCIAL SERVICES, INC
February 22, 2011 - August 1, 2011
FIRSTMERIT ADVISORS, INC.
January 13, 2011 - August 1, 2011
FIRSTMERIT FINANCIAL SERVICES, INC
July 28, 2008 - December 31, 2009
INVEST FINANCIAL CORPORATION
July 28, 2008 - December 31, 2009
INVEST FINANCIAL CORPORATION
July 27, 2006 - February 15, 2008
FIFTH THIRD SECURITIES, INC.
July 20, 2006 - February 15, 2008
FIFTH THIRD SECURITIES, INC.
September 4, 2003 - June 20, 2006
KEYBANC CAPITAL MARKETS INC.
April 9, 2002 - June 20, 2006
KEYBANC CAPITAL MARKETS INC.
November 10, 1993 - September 30, 1994
SOCIETY INVESTMENTS, 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 | ||
| 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.
