Daniel L. Mayes

CETERA INVESTMENT ADVISERS LLC

SAN DIEGO, CA 92101

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CRD#: 4531299

Professional summary

Daniel Leon Mayes, AIF®, who also goes by Daniel Leon Mayes Mr., is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in San Diego, California and CETERA INVESTMENT SERVICES LLC located in San Diego, California.

Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Daniel has worked at 11 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Daniel Leon Mayes Mr.

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Leon Mayes's CRS (Customer Relationship Summary).

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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

November 12, 2020 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 655 W Broadway 12th Fl, San Diego, CA 92101

RIA

CRD#: 105644

SAN DIEGO, CA

Current

May 19, 2015 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 655 W Broadway 12th Fl, San Diego, CA 92101

CRD#: 15340

SAN DIEGO, CA

Current

May 19, 2015 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 655 W Broadway 12th Fl, San Diego, CA 92101

CRD#: 13572

SAN DIEGO, CA

Current

May 19, 2015 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 655 W Broadway 12th Fl, San Diego, CA 92101

CRD#: 10358

SAN DIEGO, CA

Current

May 19, 2015 - Present

CETERA ADVISORS LLC

Office #1: 655 W Broadway 12th Fl, San Diego, CA 92101

CRD#: 10299

SAN DIEGO, CA

Past

September 30, 2010 - November 12, 2020

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

SAN DIEGO, CA

Past

July 30, 2008 - October 7, 2010

GREENBOOK INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 131563

SAN DIEGO, CA

Past

May 14, 2008 - July 2, 2012

FIRST ALLIED SECURITIES, INC.

RIA

CRD#: 32444

GOODYEAR, AZ

Past

December 20, 2007 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN DIEGO, CA

Past

November 8, 2006 - March 14, 2008

GREENBOOK INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 131563

GOODYEAR, AZ

Past

July 20, 2006 - October 16, 2006

CHARLES SCHWAB & CO., INC.

CRD#: 5393

PHOENIX, AZ

Past

June 13, 2006 - October 16, 2006

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

PHOENIX, AZ

Past

September 13, 2004 - June 2, 2006

GREENBOOK INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 131563

GOODYEAR, AZ

Past

February 18, 2003 - December 31, 2004

XELAN FINANCIAL PLANNING, INC.

RIA

CRD#: 123794

GLENDALE, AZ

Past

January 1, 2002 - January 30, 2003

XELAN INVESTMENT SERVICES, INC.

RIA

CRD#: 111870

GLENDALE, AZ

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Arizona
(9/8/2022)

IAR

California
(11/12/2020)

California
(9/8/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 7/25/2006

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 5/14/2001

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/19/2006

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Daniel L. Mayes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Leon Mayes's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

CETERA WEALTH SERVICES, LLC

CETERA FINANCIAL SPECIALISTS LLC

CETERA ADVISORS LLC

FIRST ALLIED ADVISORY SERVICES, INC.

GREENBOOK INVESTMENT MANAGEMENT, INC.

FIRST ALLIED SECURITIES, INC.

FIRST ALLIED SECURITIES, INC.

GREENBOOK INVESTMENT MANAGEMENT, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

GREENBOOK INVESTMENT MANAGEMENT, INC.

XELAN FINANCIAL PLANNING, INC.

XELAN INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/25/2006

Series 65

Date: 5/14/2001

SIE

Date: 10/1/2018

Series 7

Date: 7/19/2006

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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