DR
Daniel R. Riley
CETERA INVESTMENT ADVISERS LLC
CORRAL DE TIERRA, CA 93908
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CRD#: 3090961
DR
Professional summary
Daniel Roland Riley, who also goes by Dan Riley, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Corral De Tierra, California and CETERA WEALTH SERVICES, LLC located in Corral De Tierra, California.
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 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dan Riley
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) MARKHAM RANCH HOME OWNERS ASSOCIATION POSITION: MEMBER OF THE BOARD OF DIRECTORS NATURE: HOME OWNERS ASSOCIATION INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 06/01/1988 ADDRESS: Salinas CA 93908, United States DESCRIPTION: NO DAILY HRS. WORKS WITH FOUR OTHER DIRECTORS CONDUCTING THE BUSINESS OF THE HOMEOWNERS ASSOCIATION. 2) RILEY FINANCIAL ADVISORS POSITION: PRESIDENT NATURE: FINANCIAL SERVICES INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 5 START DATE: 01/01/2004 ADDRESS: 13910 Castlerock Road, Corral de Tierra CA 93908, United States DESCRIPTION: I am an investment advisor representative providing financial planning and advisory services to a variety of clients 3) CARMEL VALLEY COMMUNITY CHAPEL POSITION: Board of Trustees, President NATURE: Trustees manage the fiscal activities of the church INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2022 ADDRESS: PASO HONDO AND VILLAGE ROAD, CARMEL VILLAGE CA 93924, United States DESCRIPTION: Conduct meetings of the board of trusteesConduct meetings of the congregationAppoint members of various committeesex officio member of committeesrespond to needs of members as needed 4)DANIEL R RILEY, CPA; OTHER - OWNER/PRESIDENT; NIR; 02/01/1990;
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Roland Riley'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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 13910 Castlerock Road, Corral De Tierra, CA 93908RIA
CRD#: 105644
CORRAL DE TIERRA, CA
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
CORRAL DE TIERRA, CA
Past
October 25, 2019 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
CORRAL DE TIERRA, CA
Past
October 25, 2019 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
CORRAL DE TIERRA, CA
Past
April 4, 2007 - October 25, 2019
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
CORRAL DE TIERRA, CA
Past
July 8, 2005 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
CORRAL DE TIERRA, CA
Past
October 14, 2004 - December 31, 2008
RILEY FINANCIAL ADVISORS
RIA
CRD#: 131826
SALINAS, CA
Past
December 4, 2000 - September 12, 2005
TAKE CHARGE FINANCIAL
BD
CRD#: 16724
LOS GATOS, CA
Past
September 29, 1998 - October 20, 2000
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
DALLAS, TX
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
California(9/5/2025)
IAR
California(9/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Corral De Tierra, CA 93908TRUST BUT VERIFY
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