Daniel B. Vazquez
Professional summary
Daniel Benjamin Vazquez SR was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Daniel is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, Daniel had worked at 14 firms, which includes CETERA ADVISORS LLC, INVESTORS CAPITAL CORP., HOPLON FINANCIAL GROUP, FOOTHILL SECURITIES INC., ASSOCIATED PLANNERS INVESTMENT ADVISORY INC, ASSOCIATED SECURITIES CORP., FIRST MIDWEST SECURITIES INC., TRANSAMERICA FINANCIAL ADVISORS INC., OSAIC SERVICES INC., SUNAMERICA SECURITIES INC., PMB SECURITIES CORP., BROOKSTREET SECURITIES CORPORATION, PAULSON INVESTMENT COMPANY LLC, MORGAN STANLEY DW INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 5, 2013 - May 13, 2016
CETERA ADVISORS LLC
November 5, 2013 - May 13, 2016
CETERA ADVISORS LLC
September 27, 2011 - November 15, 2013
INVESTORS CAPITAL CORP.
September 27, 2011 - November 15, 2013
INVESTORS CAPITAL CORP.
January 18, 2011 - December 31, 2014
HOPLON FINANCIAL GROUP
September 22, 2009 - September 28, 2011
FOOTHILL SECURITIES, INC.
September 1, 2009 - May 27, 2011
FOOTHILL SECURITIES, INC.
April 3, 2008 - September 1, 2009
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC
April 2, 2008 - September 1, 2009
ASSOCIATED SECURITIES CORP.
April 2, 2008 - September 1, 2009
ASSOCIATED SECURITIES CORP.
August 30, 2007 - April 30, 2008
FIRST MIDWEST SECURITIES, INC.
August 30, 2007 - April 30, 2008
FIRST MIDWEST SECURITIES, INC.
May 21, 2007 - August 31, 2007
TRANSAMERICA FINANCIAL ADVISORS, INC.
April 13, 2007 - August 31, 2007
TRANSAMERICA FINANCIAL ADVISORS, INC.
November 14, 2005 - April 12, 2007
OSAIC SERVICES, INC.
October 31, 2005 - April 12, 2007
OSAIC SERVICES, INC.
September 21, 2005 - October 31, 2005
SUNAMERICA SECURITIES, INC.
December 6, 2004 - September 14, 2005
PMB SECURITIES CORP.
December 6, 2004 - September 14, 2005
PMB SECURITIES CORP.
May 30, 2003 - December 17, 2004
BROOKSTREET SECURITIES CORPORATION
December 3, 2001 - June 3, 2003
PAULSON INVESTMENT COMPANY LLC
July 13, 1999 - June 3, 2003
PAULSON INVESTMENT COMPANY LLC
December 17, 1998 - June 2, 1999
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CETERA ADVISORS LLC
CRD#: 10299 / SEC#: 801-33020, 8-26892
Contact information
FINRA licenses (53 States and Territories)
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 |
Red Flags
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