DC
Daniel P. Cavaretta
KESTRA ADVISORY SERVICES
Clarence Center, NY 14032
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CRD#: 4199968
DC
Professional summary
Daniel Paul Cavaretta is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Clarence Center, New York and KESTRA INVESTMENT SERVICES, LLC located in Williamsville, New York.
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 6 firms and has passed the Series 66, SIE, Series 31 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: Cornerstone Capital Wealth Management Inv Rel: Yes Address: 5895 Goodrich Rd. Clarence Center NY 14032 NOB: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Consulting; Insurance POS: Vice President of Business Solutions and Planning Start Date: 1/4/2021 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) DESC: Working with business owners on the retirement solution that they offer employees. Helping employees understand the benefits that they have from their employer Business Name: Kestra Advisory Services, LLC Inv Rel: Yes Address: 5707 Southwest Pkwy., Building 2, Suite 400 Austin TX 78735 NOB: Investment Advisory services through Kestra Advisory Services, LLC POS: IAR Start Date: 5/14/2021 Hours per month: 61% - 70% (97 - 112 hours) Hours per month during trading hours: 61% - 70% (85 - 98 hours) DESC: IAR Business Name: SERJEANT-AT-ARMS OF THE GOOD GOVERNMENT CLUB OF WESTERN NEW YORK POS: They would like me to act as Serjeant-at-arms NOB: Board position (Board of Directors, Board of Trustees, etc.) INV REL: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2024 ADDRESS: 510 Delaware Ave., Buffalo NY 14202 DESC: I would maintain order during the meetings.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Paul Cavaretta'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
May 14, 2021 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 5895 Goodrich Rd, Clarence Center, NY 14032RIA
CRD#: 283330
Clarence Center, NY
Current
May 14, 2021 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 5635 Harris Hill Rd, Williamsville, NY 14221BD
CRD#: 42046
Williamsville, NY
Past
January 29, 2021 - May 14, 2021
GENEOS WEALTH MANAGEMENT, INC.
BD
CRD#: 120894
Clarence Center, NY
Past
January 21, 2021 - May 14, 2021
GENEOS WEALTH MANAGEMENT, INC.
RIA
CRD#: 120894
Clarence Center, NY
Past
April 4, 2013 - September 18, 2020
NATIONWIDE INVESTMENT ADVISORS, LLC
RIA
CRD#: 142373
COLUMBUS, OH
Past
March 21, 2005 - September 18, 2020
NATIONWIDE INVESTMENT SERVICES CORPORATION
BD
CRD#: 7110
COLUMBUS, OH
Past
July 17, 2000 - March 1, 2005
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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
New York(5/14/2021)
IAR
New York(5/14/2021)
Exams
State Security Law Exam
General Industry/Product 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
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Company Information
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330Clarence Center, NY 14032TRUST BUT VERIFY
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