Daniel G. Kew
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 Godfrey Kew was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1994. Daniel had worked at 16 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 2019 - April 26, 2022
CETERA INVESTMENT ADVISERS LLC
April 1, 2019 - April 26, 2022
CETERA INVESTMENT SERVICES LLC
October 5, 2016 - July 25, 2018
INDEPENDENT FINANCIAL PARTNERS
September 30, 2016 - August 30, 2018
LPL FINANCIAL LLC
January 31, 2013 - October 7, 2016
CITIGROUP GLOBAL MARKETS INC.
January 31, 2013 - October 7, 2016
CITIGROUP GLOBAL MARKETS INC.
June 13, 2012 - February 8, 2013
BANCWEST INVESTMENT SERVICES, INC.
June 13, 2012 - February 8, 2013
BANCWEST INVESTMENT SERVICES, INC.
April 30, 2009 - May 29, 2012
CHASE INVESTMENT SERVICES CORP.
April 29, 2009 - May 29, 2012
CHASE INVESTMENT SERVICES CORP.
September 30, 2008 - January 21, 2009
WELLS FARGO CLEARING SERVICES, LLC
September 30, 2008 - January 21, 2009
WELLS FARGO CLEARING SERVICES, LLC
October 9, 2003 - October 9, 2008
WELLS FARGO INVESTMENTS, LLC
October 9, 2003 - October 9, 2008
WELLS FARGO INVESTMENTS, LLC
March 24, 2003 - October 7, 2003
WAMU INVESTMENTS, INC.
July 12, 1999 - April 8, 2003
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 12, 1998 - April 8, 2003
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 2, 1997 - July 12, 1999
BA INVESTMENT SERVICES, INC.
December 12, 1994 - April 17, 1997
CITICORP INVESTMENT SERVICES
October 3, 1994 - November 29, 1994
IDS LIFE INSURANCE COMPANY
October 3, 1994 - November 29, 1994
AMERIPRISE FINANCIAL SERVICES, LLC
June 9, 1994 - October 11, 1994
INTERFIRST CAPITAL CORPORATION
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.
