Daniel S. Dipaola

CETERA INVESTMENT ADVISERS

Ballston Spa, NY

CRD#: 4649328

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Professional summary

Daniel Stephen Dipaola, CFP®, who also goes by Daniel Dipaola, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Ballston Spa, New York and BLUE HORIZON EQUITY, INC. located in Pittsford, New York.

Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Daniel has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Daniel Dipaola

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 Stephen Dipaola'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®

CFP^®

Certified Financial Planner

Start date: 2020

Experience

Current

May 19, 2026 - Present

CETERA INVESTMENT ADVISERS LLC

Office #2: 55 Sully's Trail Suite F, Pittsford, NY 14534

RIA

CRD#: 105644

Ballston Spa, NY

Current

May 22, 2026 - Present

BLUE HORIZON EQUITY, INC.

Office #1: 55 Sully's Trail Suite F, Pittsford, NY 14534

RIA

CRD#: 341095

PITTSFORD, NY

Current

May 19, 2026 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 55 Sully's Trail Suite F, Pittsford, NY 14534

CRD#: 13572

Pittsford, NY

Past

October 11, 2024 - May 21, 2026

OSAIC WEALTH, INC.

RIA

CRD#: 23131

Pittsford, NY

Past

October 11, 2024 - May 21, 2026

OSAIC WEALTH, INC.

CRD#: 23131

Pittsford, NY

Past

October 8, 2014 - October 4, 2024

NOVEM GROUP

RIA

CRD#: 158964

Pittsford, NY

Past

October 6, 2014 - October 11, 2024

AMERICAN PORTFOLIOS ADVISORS, INC

RIA

CRD#: 112697

HOLBROOK, NY

Past

October 3, 2014 - October 11, 2024

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

Pittsford, NY

Past

October 19, 2010 - October 9, 2014

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

PITTSFORD, NY

Past

May 19, 2003 - October 9, 2014

EQUITABLE ADVISORS, LLC

CRD#: 6627

PITTSFORD, 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".

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

Florida
(5/19/2026)

Illinois
(5/19/2026)

Massachusetts
(5/19/2026)

Nevada
(5/19/2026)

New York
(5/19/2026)

IAR

New York
(5/19/2026)

North Carolina
(5/20/2026)

Ohio
(5/19/2026)

Pennsylvania
(5/19/2026)

Virginia
(5/19/2026)

West Virginia
(5/19/2026)

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

IAR

Series 66

Date: 7/12/2003

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/15/2003

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

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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Firm Stability Insights

Daniel S. Dipaola

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Stephen Dipaola's CRS (Customer Relationship Summary).

Certified licenses

Experience

BLUE HORIZON EQUITY, INC.

CETERA WEALTH SERVICES, LLC

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

NOVEM GROUP

AMERICAN PORTFOLIOS ADVISORS, INC

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/12/2003

SIE

Date: 10/1/2018

Series 7

Date: 5/15/2003

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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