RD
Robert R. Daly
CETERA INVESTMENT ADVISERS LLC
CONCORD, CA 94520
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CRD#: 2550457
RD
Professional summary
Robert Russell Daly JR, who also goes by Bob Daly, Robert Russell Daly, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Concord, California and CETERA WEALTH SERVICES, LLC located in Stockton, California.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Robert has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bob Daly | Robert Russell Daly
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: 8/28/12 APX NUMBER OF HOURS PER WEEK: 40 HOURS APX NUMBER OF HOURS DURING TRADING HOURS: N/A POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, DISABILITY, ANNUITIES AND LONG TERM CARE; 2. NAME OF OTHER BUSINESS: RUNNIN FOR RHETT INVESTMENT RELATED: NO ADDRESS: 5117 WORCESTER WAY ELK GROVE, CA 95758 NATURE OF BUSINESS: RUNNING A GROUP THAT SUPPORTS A YOUTH FITNESS PROGRAM AT GREATER SACRAMENTO SCHOOLS. START DATE: 6/1/2012 APX NUMBER OF HOURS PER WEEK: 3 HOURS APX NUMBER OF HOURS DURING TRADING HOURS: N/A BRIEF DESCRIPTION OF DUTIES: BOARD MEMBER; 3. NAME OF OTHER BUSINESS: ROTARY CLUB OF SACRAMENTO INVESTMENT RELATED: NO ADDRESS: 355 COMMERCE CIRCLE SACRAMENTO CA 95815 NATURE OF BUSINESS: SERVICE ORGANIZATION START DATE: 10/2007 APX NUMBER OF HOURS PER WEEK: 3 HOURS APX NUMBER OF HOURS DURING TRADING HOURS: N/A BRIEF DESCRIPTION OF DUTIES: MEMBER, HELP WITH MEETING SETUP EVERY MONDAY, AND HELP WITH COMMUNITY SERVICE PROJECTS.; 4. NAME OF OTHER BUSINESS: FINANCIAL NETWORK WEALTH ADVISORS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES POSITION/TITLE/RELATIONSHIP: AFFILIATED PERSON START DATE: 01/02/2013 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 5. NAME OF OTHER BUSINESS: FINANCIAL NETWORK WEALTH ADVISORS LLC, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: EXPENSE MANGEMENT, START DATE: 11/2024 , POSITION/TITLE/RELATIONSHIP: SENIOR MANAGING PARTNER, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF HOURS DURING TRADING HOURS: 1, BRIEF DESCRIPTION OF DUTIES: LLC FOR EXPENSE MANAGEMENT;
CRS (Client Relationship Summary) - RIA
Click below to view Robert Russell Daly JR'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
Office #1: 1390 Willow Pass Rd Ste 900, Concord, CA 94520Office #2: 2157 Country Hills Dr Ste 211, Antioch, CA 94509Office #3: 5757 Pacific Ave Ste 248, Stockton, CA 95207Office #4: 14804 Hwy 4 Ste. #a, Byron, CA 94514Office #5: 1300 Ethan Wy Ste 150, Sacramento, CA 95825RIA
CRD#: 105644
CONCORD, CA
Current
September 4, 2003 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 517 E Weber Ave, Stockton, CA 95202Office #2: 2001 W March Ln, Stockton, CA 95207Office #3: 919 N Center St, Stockton, CA 95202Office #4: 1300 Ethan Wy Ste 150, Sacramento, CA 95825BD
CRD#: 13572
Stockton, CA
Past
February 2, 2004 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
Oakley, CA
Past
August 17, 2001 - October 28, 2003
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LAVISTA, NE
Past
February 8, 2001 - August 21, 2001
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
ST. CLOUD, MN
Past
June 5, 1997 - January 3, 2001
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
Past
August 7, 1996 - May 28, 1997
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
August 7, 1996 - May 28, 1997
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
June 20, 1995 - August 14, 1996
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
Past
February 10, 1995 - July 19, 1995
INTERFIRST CAPITAL CORPORATION
BD
CRD#: 7659
LOS ANGELES, CA
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
Arizona(1/7/2011)
RR
California(9/4/2003)
IAR
California(6/29/2023)
RR
Colorado(5/13/2016)
RR
Connecticut(7/6/2016)
RR
Florida(10/9/2020)
RR
Idaho(3/30/2017)
RR
Michigan(1/9/2024)
RR
Nevada(11/4/2009)
RR
Oregon(7/15/2011)
RR
Texas(4/13/2009)
IAR
Texas(6/29/2023)
RR
Utah(6/13/2018)
Exams
State Security Law Exam
General 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
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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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Concord, CA 94520TRUST BUT VERIFY
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