DS
Daniel J. Sommers
KESTRA ADVISORY SERVICES
NAPERVILLE, IL 60563
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CRD#: 3232276
DS
Professional summary
Daniel J Sommers, CFP® is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Naperville, Illinois and KESTRA INVESTMENT SERVICES, LLC located in Naperville, Illinois.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Daniel has worked at 4 firms and has passed the Series 63, Series 65, 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.
Business Name: PWM 401k Investment Related: No Address: 1700 Park Street Suite 200 Naperville IL 60563 Nature of Business: Other Other/None of the Above trustee duties for 401k plan Position, Title or Relationship: trustee duties for 401k plan Start Date: 1/1/2012 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: administration of 401k plan Business Name: Sommers Education Assistance Loan Trust Investment Related: No Address: 613 Banbury Ct Roselle IL 60172 Nature of Business: Other Back Office Operations Position, Title or Relationship: Other,Moved to Other from Director Start Date: 1/1/1999 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Director of an education trust created by my parents to allow their grandchildren to borrow funds toward their secondary education. Business Name: DCCA Wealth Management, Inc Investment Related: Yes Address: 613 Banbury Ct Roselle IL 60172 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name Position, Title or Relationship: Owner Start Date: 10/24/2014 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: S corp created to report my business activities for income tax purposes Business Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Investment Advisor Representative Start Date: 4/4/2016 Hours per month: Up to 100% (0 to 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory services Business Name: Partners Wealth Management, Inc Investment Related: Yes Address: 1700 Park Street, Suite 200 Naperville IL 60563 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Consulting; Insurance; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Independent Contractor for Partners Wealth Management Start Date: 4/26/1999 Hours per month: 71% - 80% (113 - 128 hours) Hours per month during trading hours: 71% - 80% (99 - 112 hours) Duties: Investment, insurance, financial consulting Business Name: DCCA Financial Wealth Management LLP Investment Related: Yes Address: 613 Banbury Ct Roselle IL 60172 Nature of Business: Other Back Office Operations; Bank or Credit Union Position, Title or Relationship: partner Start Date: 2/2/2017 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: accounting Business Name: PIDAY LLC POSITION: Managing Member NATURE: Private Investment INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 06/09/2023 ADDRESS: 613 Banbury Ct, Roselle IL 60172-3001 DESCRIPTION: I am the managing member of the LLC which was created to invest in a private investment.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel J Sommers'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®
CFP®
Start date: 2002
Experience
Current
April 19, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 1700 Park St., Ste. 200,, Naperville, IL 60563RIA
CRD#: 283330
NAPERVILLE, IL
Current
March 23, 2001 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 1700 Park Street Suite 200, Naperville, IL 60563BD
CRD#: 42046
NAPERVILLE, IL
Past
June 21, 2001 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
NAPERVILLE, IL
Past
February 25, 2000 - January 9, 2001
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
January 2, 2000 - February 5, 2001
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 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(11/11/2024)
RR
Florida(7/28/2017)
RR
Georgia(7/18/2019)
RR
Illinois(3/23/2001)
IAR
Illinois(4/19/2016)
RR
Michigan(4/26/2023)
RR
Minnesota(1/26/2024)
RR
North Carolina(11/13/2024)
RR
South Carolina(11/12/2024)
RR
Texas(2/3/2021)
IAR
Texas(7/26/2023)
RR
Virginia(6/9/2020)
RR
Wisconsin(1/25/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
