Daniel M. Pellegrino

CETERA INVESTMENT ADVISERS

GREENWOOD VILLAGE, CO 80111

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CRD#: 3054953

Professional summary

Daniel M Pellegrino, who also goes by Daniel Michael Pellegrino, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Greenwood Village, Colorado and CETERA ADVISORS LLC located in Greenwood Village, Colorado.

Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Daniel has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Aliases

Daniel Michael Pellegrino

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) - RIA

Click below to view Daniel M Pellegrino'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

February 5, 2026 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 5299 Dtcc Blvd # 800, Greenwood Village, CO 80111

RIA

CRD#: 105644

GREENWOOD VILLAGE, CO

Current

February 5, 2026 - Present

CETERA ADVISORS LLC

Office #1: 5299 Dtc Blvd #800, Greenwood Village, CO 80111

CRD#: 10299

GREENWOOD VILLAGE, CO

Past

January 15, 2013 - October 10, 2025

LPL FINANCIAL LLC

RIA

CRD#: 6413

PROVIDENCE, RI

Past

October 11, 2011 - October 10, 2025

LPL FINANCIAL LLC

CRD#: 6413

PROVIDENCE, RI

Past

August 20, 2009 - October 11, 2011

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

ATTLEBORO, MA

Past

October 30, 2007 - August 24, 2009

GLOBAL ATLANTIC DISTRIBUTORS, LLC

CRD#: 8326

HARTFORD, CT

Past

April 23, 2002 - September 18, 2006

FORESIDE DISTRIBUTION SERVICES, L.P.

CRD#: 15634

CINCINNATI, OH

Past

January 1, 2002 - March 13, 2002

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Past

February 22, 2000 - January 1, 2002

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

CRD#: 28262

BOSTON, MA

Past

July 9, 1998 - November 30, 1999

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

SMITHFIELD, RI

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

Rhode Island
(2/5/2026)

IAR

Rhode Island
(2/5/2026)

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: 1/10/2013

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/22/1998

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: 3/15/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/8/1998

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

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

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)

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

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

Daniel M. Pellegrino

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel M Pellegrino's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

UVEST FINANCIAL SERVICES GROUP, INC.

GLOBAL ATLANTIC DISTRIBUTORS, LLC

FORESIDE DISTRIBUTION SERVICES, L.P.

SIGNATOR INVESTORS, INC.

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

FIDELITY DISTRIBUTORS COMPANY LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/10/2013

Series 63

Date: 6/22/1998

SIE

Date: 10/1/2018

Series 7

Date: 3/15/2001

Series 6

Date: 7/8/1998

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

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