DW
Dan C. Wilkinson
CETERA INVESTMENT ADVISERS LLC
ALBUQUERQUE, NM 87109
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CRD#: 2995466
DW
Professional summary
Dan Charles Wilkinson SR, AIF® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Albuquerque, New Mexico and CETERA WEALTH SERVICES, LLC located in Albuquerque, New Mexico.
Dan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Dan has worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 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. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; APX NUMBER OF HOURS PER WEEK: 20; APX NUMBER OF HOURS DURING TRADING HOURS: 20; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE; 2. NAME OF OTHER BUSINESS: KAPLAN; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: EDUCATION AND TRAINING; START DATE: 8/2025; POSITION/TITLE/RELATIONSHIP: INSTRUCTOR; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: EDUCATION AND TRAINING; 3. W-2 EE RELATIONSHIP 3 DAY CLASS; 4. HIGH SCHOOL/CLUB - UMPIRE, REFEREE 5. NAME OF OTHER BUSINESS: THE LOAN FUND, INVESTMENT RELATED: NO, ADDRESS: 423 IRON AVE SW, ALBUQUERQUE, NM 87102, NATURE OF BUSINESS: NON-PROFIT, START DATE: 05/2024 POSITION/TITLE/RELATIONSHIP: BOARD MEMBER, APX NUMBER OF HOURS PER WEEK: 5, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: KEEP MINUTES, MAKE COMMENTS, DONATE AND VOLUNTEER TIME; 6.NAME OF OTHER BUSINESS: LIFEQUEST INVESTMENT RELATED: NO ADDRESS: 4020 EDITH BLVD, ALBUQUERQUE, NM 87107 NATURE OF BUSINESS: NON-PROFIT START DATE: 04/2019 POSITION/TITLE/RELATIONSHIP: MENTOR APX NUMBER OF HOURS PER WEEK: 2 NOT DURING TRADING HOURS BRIEF DESCRIPTION OF DUTIES: MENTOR YOUTH ON LIFE SKILLS, EMPOWER YOUTH TO RESIST UNHEALTHY TEMPTATIONS; 7. NAME OF OTHER BUSINESS: BLACK CHAMBER OF COMMERCE OF NEW MEXICO; INVESTMENT RELATED: NO; ADDRESS: 3150 CARLISLE BLVD NE, ALBUQUERQUE, NM 87110; NATURE OF BUSINESS: BOARD; START DATE: 1/2023 POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1.5; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: ATTEND BOARD MEETINGS; 8. NAME OF OTHER BUSINESS: DAN WILKINSON AGENCY; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: INSURANCE DBA; START DATE: 8/2025; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: SALE & SERVICE OF FIXED INSURANCE DBA;
CRS (Client Relationship Summary) - RIA
Click below to view Dan Charles Wilkinson SR'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®
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 7770 Jefferson St Ne Suite 405, Albuquerque, NM 87109RIA
CRD#: 105644
ALBUQUERQUE, NM
Current
July 27, 1999 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 7770 Jefferson St Ne Suite 405, Albuquerque, NM 87109Office #2: 9312 Montgomery Blvd Ne, Albuquerque, NM 87111BD
CRD#: 13572
Albuquerque, NM
Past
January 24, 2017 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
ALBUQUERQUE, NM
Past
July 27, 1998 - September 10, 1999
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
CINCINNATI, OH
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(1/4/2010)
RR
California(1/3/2022)
RR
Colorado(2/5/2010)
RR
District of Columbia(1/2/2025)
RR
Idaho(2/15/2022)
RR
Illinois(1/4/2021)
RR
Maryland(1/6/2016)
RR
New Mexico(7/27/1999)
IAR
New Mexico(6/29/2023)
RR
Texas(8/12/2015)
IAR
Texas(6/29/2023)
Exams
State Security Law Exam
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
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Albuquerque, NM 87109TRUST BUT VERIFY
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