Daniel P. Burkott
Professional summary
Daniel Paul Burkott is a registered financial professional currently at CETERA INVESTMENT SERVICES LLC located in Dallas, Texas and CETERA WEALTH SERVICES, LLC located in Dallas, Texas.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 2004. Daniel has worked at 20 firms and has passed the Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 14, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Daniel Paul Burkott's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 12, 2024 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 3200 Olympus Blvd Ste 100, Dallas, TX 75019June 12, 2024 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 3200 Olympus Blvd Ste 100, Dallas, TX 75019June 12, 2024 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 3200 Olympus Blvd Ste 100, Dallas, TX 75019June 12, 2024 - Present
CETERA ADVISORS LLC
Office #1: 3200 Olympus Blvd Ste 100, Dallas, TX 75019June 12, 2024 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
August 26, 2021 - May 23, 2024
WESTERN INTERNATIONAL SECURITIES, INC.
August 26, 2021 - May 23, 2024
SORRENTO PACIFIC FINANCIAL, LLC
August 26, 2021 - May 23, 2024
SCF SECURITIES, INC.
August 26, 2021 - May 23, 2024
NEXT FINANCIAL GROUP, INC.
August 26, 2021 - May 23, 2024
CUSO FINANCIAL SERVICES, L.P.
August 26, 2021 - May 23, 2024
CADARET, GRANT & CO., INC.
July 25, 2016 - June 15, 2021
VOYA FINANCIAL ADVISORS, INC.
November 5, 2013 - April 6, 2016
VALIC FINANCIAL ADVISORS, INC.
April 24, 2013 - July 28, 2016
WOODBURY FINANCIAL SERVICES, INC.
July 8, 2008 - October 29, 2008
AMERICAN GENERAL SECURITIES INCORPORATED
July 8, 2008 - March 3, 2009
ADVANTAGE CAPITAL CORPORATION
July 8, 2008 - July 28, 2016
OSAIC SERVICES, INC.
July 8, 2008 - July 28, 2016
OSAIC WEALTH, INC.
July 8, 2008 - July 28, 2016
FSC SECURITIES CORPORATION
December 16, 2004 - July 17, 2008
MML INVESTORS SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/13/2024)
(8/19/2024)
(6/17/2024)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
CETERA ADVISORS LLC
CRD#: 10299 / SEC#: 801-33020, 8-26892
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| ARNOLD, SUMMER SELTZER | VICE PRESIDENT | 2954103 |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| DEL VALLE, ELISA ANNE-MARIE | VICE PRESIDENT | 4807911 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HALLORAN, THOMAS WILLIAM | CHIEF EXECUTIVE OFFICER, PRESIDENT AND MANAGER | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CHIEF COMPLIANCE OFFICER | 5059176 |
| MERRILL, GARRETT JAMES | VICE PRESIDENT | 4306692 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| VOGEL, RICHARD CHARLES | VICE PRESIDENT | 4024999 |
Regulatory assets under management
| Total Number of Accounts | 81,652 |
| AUM (Assets Under Management) | $ 21,989,347,265 |
Disclosures
| Regulatory Event | 14 |
| Civil Event | 1 |
| Arbitration | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2023 |
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.
