Denise M. Daugherty

CETERA INVESTMENT ADVISERS LLC

WEST DES MOINES, IA 50266

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CRD#: 3065398

Professional summary

Denise Marie Daugherty, who also goes by Denise M Daugherty, Denise Marie Daugherty, Denise Marie Vorm, Denise Marie Vorm, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in West Des Moines, Iowa and CETERA WEALTH SERVICES, LLC located in West Des Moines, Iowa.

Denise is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Denise has worked at 11 firms and has passed the Series 66, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 4, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Denise M Daugherty | Denise Marie Daugherty | Denise Marie Vorm | Denise Marie Vorm

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: DES MOINES ROWING CLUB; INVESTMENT RELATED: NO; ADDRESS: DES MOINES, IA 50313 NATURE OF BUSINESS: NONPROFIT ROWING CLUB; START DATE: 01/2023; POSITION/TITLE/RELATIONSHIP: BOARD OF DIRECTORS / SAFETY DIRECTOR; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: RESPONSIBLE FOR SAFETY OF ROWERS AND ENSURING CLUB HAS PROPER SAFETY PROCEDURES SET FORTH BY US ROWING;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Denise Marie Daugherty'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

May 28, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1089 Jordan Creek Pkwy Suite 370, West Des Moines, IA 50266

RIA

CRD#: 105644

WEST DES MOINES, IA

Current

May 28, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 1089 Jordan Creek Pkwy Suite 370, West Des Moines, IA 50266

CRD#: 13572

West Des Moines, IA

Past

November 18, 2021 - May 1, 2025

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

EARLHAM, IA

Past

November 18, 2021 - May 1, 2025

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

JOHNS CREEK, GA

Past

June 10, 2021 - October 22, 2021

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

W Des Moines, IA

Past

June 10, 2021 - October 22, 2021

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

W DES MOINES, IA

Past

June 10, 2021 - October 22, 2021

CRD#: 6413

FORT MILL, SC

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

Iowa
(5/28/2025)

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 2/26/2002

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

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

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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
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.

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Denise M. Daugherty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Denise Marie Daugherty's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

FIRST ALLIED SECURITIES, INC.

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VOYA FINANCIAL ADVISORS, INC.

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Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/1/2004

Series 63

Date: 7/20/1998

Series 52TO

Date: 9/3/2025

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/7/1998

Series 4

Date: 5/9/2006

Series 51

Date: 12/1/2003

Series 24

Date: 2/26/2002

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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