Daisy L. Ycmat-miller

CETERA INVESTMENT SERVICES LLC

El Segundo, CA 90245

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CRD#: 2686272

Professional summary

Daisy Lyn Ycmat-miller, who also goes by Daisy Lyn Ycmat, Daisy Ycmat, Daisy Lyn Ycmat-miller, is a registered financial professional currently at CETERA INVESTMENT SERVICES LLC located in El Segundo, California and CETERA WEALTH SERVICES, LLC located in El Segundo, California.

Daisy is registered as a RR (Registered Representative) and started their career in finance in 1996. Daisy has worked at 13 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 3, Series 55, Series 7, Series 53, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Daisy Lyn Ycmat | Daisy Ycmat | Daisy Lyn Ycmat-Miller

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Daisy Lyn Ycmat-miller'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®

None

Experience

Current

January 18, 2024 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

CRD#: 15340

El Segundo, CA

Current

January 18, 2024 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 2301 Rosecrans Ave Ste #5100, El Segundo, CA 90245Office #2: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

CRD#: 13572

EL SEGUNDO, CA

Current

January 18, 2024 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

CRD#: 10358

El Segundo, CA

Current

January 18, 2024 - Present

CETERA ADVISORS LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

CRD#: 10299

El Segundo, CA

Past

January 17, 2025 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

Past

April 5, 2018 - July 28, 2023

BANCWEST INVESTMENT SERVICES, INC.

CRD#: 29357

SACRAMENTO, CA

Past

December 10, 2010 - April 21, 2017

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

CRD#: 332

RANCHO CORDOVA, CA

Past

January 23, 2009 - October 9, 2009

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

LAVISTA, NE

Past

January 23, 2009 - October 9, 2009

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

June 4, 2008 - January 23, 2009

BRECEK & YOUNG ADVISORS, INC.

RIA

CRD#: 40395

FOLSOM, CA

Past

May 21, 2007 - January 23, 2009

BRECEK & YOUNG ADVISORS, INC.

CRD#: 40395

FOLSOM, CA

Past

September 3, 2002 - February 3, 2006

E*TRADE CLEARING LLC

CRD#: 25025

JERSEY CITY, NJ

Past

April 27, 1998 - September 3, 2002

E*TRADE SECURITIES LLC

CRD#: 29106

JERSEY CITY, NJ

Past

May 9, 1996 - April 3, 1998

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(1/18/2024)

Indiana
(1/18/2024)

Exams

State Security Law Exam

IAR

Series 66

Date: 6/2/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/27/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 9/16/2002

National Commodity Futures Examination

General Industry/Product Exam

Series 55

Date: 4/2/2001

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 3/25/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 11/13/2000

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 11/22/1999

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 12/21/1998

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA ADVISORS LLC

CETERA ADVISORS LLC | MULTI-FINANCIAL SECURITIES CORPORATION | MAGIS FINANCIAL PARTNERS | FIRST ALLIED SECURITIES

CRD#: 10299 / SEC#: 801-33020, 8-26892

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

5299 Dtc Blvd #800 Suite 800, Greenwood Village, IL 80111

Mailing Address

400 First Street South Suite 300, Saint Cloud, MN 56301

Phone number

(800) 929-3485

Established

Delaware since 08/31/2012

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

1,138

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

CETERA ADVISORS LLC ADV 2A AND APPENDIX 1 (3/28/2024)

Direct owners and executive officers

Name	Position	CRD#
CETERA FINANCIAL GROUP, INC.	SOLE MEMBER
ARNOLD, SUMMER SELTZER	VICE PRESIDENT	2954103
BUCHHEISTER, JEFFREY ROBERT	CHIEF FINANCIAL OFFICER	4709900
BUDEVICH, SERGE	VICE PRESIDENT AND TAX OFFICER	7996345
DEL VALLE, ELISA ANNE-MARIE	VICE PRESIDENT	4807911
DOWELL, RODNEY CAMMERON	PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT	7376607
FRIES, MATTHEW NEIL KALANI	VICE PRESIDENT	2723824
GOK, LISA ANNE	SECRETARY	5059738
HALLORAN, THOMAS WILLIAM	CHIEF EXECUTIVE OFFICER, PRESIDENT AND MANAGER	1921834
HOLWEGER, KIMBERLEY	CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER	1572778
LEE, WINNIE AI-LING	ASSISTANT SECRETARY	7381661
MACKAY, TODD CHRISTOPHER	MANAGER	2799860
MCCALLOP, PATRICIA RUTHERFORD	BROKER DEALER CHIEF COMPLIANCE OFFICER	5059176
MERRILL, GARRETT JAMES	VICE PRESIDENT	4306692
MIZUGUCHI, MAURA	CHIEF ACCOUNTING OFFICER AND TREASURER	5769181
NEARY, JOSEPH DANIEL	MANAGER AND VICE PRESIDENT	2993505
RAMOS, RAMON	MONEY LAUNDERING REPORTING OFFICER	2160203
SMILEY, STANLEY ROBERT	VICE PRESIDENT	3004604
STINSON, TIMOTHY EARL MCCOY	VICE PRESIDENT	2272183
VAN HAVERMAAT, DAVID JAMES	ASSISTANT SECRETARY	7042846
VOGEL, RICHARD CHARLES	VICE PRESIDENT	4024999

Regulatory assets under management

Total Number of Accounts	81,652
AUM (Assets Under Management)	$ 21,989,347,265

Disclosures

Regulatory Event	14
Civil Event	1
Arbitration	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/26/2023	Cover Page	Report

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Daisy L. Ycmat-miller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Daisy Lyn Ycmat-miller's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA FINANCIAL SPECIALISTS LLC

CETERA ADVISORS LLC

AVANTAX INVESTMENT SERVICES, INC.

BANCWEST INVESTMENT SERVICES, INC.

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

BRECEK & YOUNG ADVISORS, INC.

BRECEK & YOUNG ADVISORS, INC.

E*TRADE CLEARING LLC

E*TRADE SECURITIES LLC

TD AMERITRADE, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/2/2008

Series 63

Date: 3/27/1996

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 9/16/2002

Series 55

Date: 4/2/2001

Series 7

Date: 3/25/1996

Series 53

Date: 11/13/2000

Series 4

Date: 11/22/1999

Series 24

Date: 12/21/1998

FINRA

Current Firm

CETERA ADVISORS LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

CETERA ADVISORS LLC

TRUST BUT VERIFY

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