Daniel J. Rivera

CETERA INVESTMENT ADVISERS LLC

TITUSVILLE, FL 32780

Some features on this profile are disabled

CRD#: 2508424

Professional summary

Daniel John Rivera, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Titusville, Florida and CETERA INVESTMENT SERVICES LLC located in Titusville, Florida.

Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Daniel has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9, Series 10 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.) JUNIOR ACHIEVEMENT VOLUNTEER 2.) COMMITTEE MEMBER OF NEW LIFE MISSION; FUNDRAISING; 1 HR/WK

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel John Rivera's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2003

Experience

Current

February 18, 2014 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 905 Cheney Highway, Titusville, FL 32780

RIA

CRD#: 105644

TITUSVILLE, FL

Current

January 29, 2014 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 905 Cheney Highway, Titusville, FL 32780Office #2: 191 E Eau Gallie Blvd, Indian Harbour, FL 32937Office #3: 111 N Orange St, Orlando, FL 32801

CRD#: 15340

Titusville, FL

Past

March 1, 2012 - January 24, 2014

SYNOVUS SECURITIES, INC.

RIA

CRD#: 14023

CHATTANOOGA, TN

Past

February 27, 2012 - January 24, 2014

SYNOVUS SECURITIES, INC.

CRD#: 14023

CHATTANOOGA, TN

Past

July 16, 2008 - February 22, 2012

FTB ADVISORS, INC.

RIA

CRD#: 143830

MEMPHIS, TN

Past

June 27, 2008 - February 22, 2012

FIRST HORIZON ADVISORS, INC.

RIA

CRD#: 17117

CHATTANOOGA, TN

Past

August 18, 2004 - February 22, 2012

FIRST HORIZON ADVISORS, INC.

CRD#: 17117

CHATTANOOGA, TN

Past

January 27, 2003 - May 28, 2004

WAMU INVESTMENTS, INC.

CRD#: 599

IRVINE, CA

Past

March 31, 1995 - December 31, 2002

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

September 30, 1994 - March 28, 1995

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Florida
(1/29/2014)

IAR

Florida
(2/18/2014)

Georgia
(5/28/2014)

Indiana
(11/5/2018)

Kentucky
(7/17/2025)

New York
(12/3/2019)

North Carolina
(12/16/2019)

Ohio
(8/2/2023)

Pennsylvania
(2/15/2022)

Tennessee
(1/29/2014)

Utah
(6/16/2023)

Virginia
(8/7/2018)

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

State Security Law Exam

IAR

Series 66

Date: 6/26/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/7/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/29/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 8

Date: 8/28/1997

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

Similar Advisors

Philippe Tann

MORGAN STANLEY & CO. LLC

NEW YORK, NY

Alexander Kimmel

CHARLES SCHWAB & CO., INC.

SAN FRANCISCO, CA

Roger Johnson

ACT ADVISORS

IAR

Mt. Pleasant, SC

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Daniel J. Rivera

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel John Rivera's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

SYNOVUS SECURITIES, INC.

SYNOVUS SECURITIES, INC.

FTB ADVISORS, INC.

FIRST HORIZON ADVISORS, INC.

FIRST HORIZON ADVISORS, INC.

WAMU INVESTMENTS, INC.

CHARLES SCHWAB & CO., INC.

AMERIPRISE ADVISOR SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/26/2008

Series 63

Date: 10/7/1994

SIE

Date: 10/1/2018

Series 7

Date: 9/29/1994

Series 9

Date: 1/2/2023

Series 10

Date: 1/2/2023

Series 8

Date: 8/28/1997

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

Similar Advisors