DV
Daniel T. Vincent
CETERA INVESTMENT ADVISERS LLC
CHICO, CA 95928
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CRD#: 4400096
DV
Professional summary
Daniel Thomas Vincent is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Chico, California and CETERA WEALTH SERVICES, LLC located in Chico, California.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Daniel has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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.
1) RENTAL PROPERTY POSITION: OWNER NATURE: RENTAL REAL ESTATE INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2003 ADDRESS: Suite 120, Chico CA 95928, United States DESCRIPTION: I OCCUPY HALF THE BUILDING AND RENT OUT THE OTHER HALF 2) JAMES B. VINCENT FAMILY TRUST POSITION: Trustee NATURE: This is my Dad's living trust. He is still alive and currently controlling the trust. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 07/21/2021 ADDRESS: 2611 Forest Ave, Suite 120, Chico CA 95928, United States DESCRIPTION: I currently don't have any responsibilities and won't until my dad passes away. 3)Vincent Financial Group, Inc.; 100% Owner, President; Vincent Financial Group, Inc DBA Taxpro will be the entity that I manage my tax practice through, as well as pay for my share of investment expenses (rent/utilities) to the shared entity that I own with Jeff Ross - Ross & Vincent Financial Group. Ross & Vincent Financial Group owns the building that the 2 of us use for our independent tax practices.; IR; 8; 07/01/2012; Suite 120 Chico CA 95928; President/CEO. I am the sole owner of this entity that provides tax and investment services to my clients and has 1 employee.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Thomas Vincent'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: 2611 Forest Avenue Suite 120, Chico, CA 95928RIA
CRD#: 105644
CHICO, CA
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2611 Forest Avenue Suite 120, Chico, CA 95928BD
CRD#: 13572
CHICO, CA
Past
October 25, 2019 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
CHICO, CA
Past
October 25, 2019 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
CHICO, CA
Past
November 20, 2006 - October 25, 2019
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
CHICO, CA
Past
May 12, 2004 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
CHICO, CA
Past
August 3, 2001 - May 17, 2004
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)
RR
Colorado(9/5/2025)
RR
Oregon(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(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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Check for any disclosures as part of your thorough research when choosing an advisor.
