Dara B. Day

CETERA INVESTMENT ADVISERS LLC

MINNETONKA, MN 55305

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CRD#: 4870232

Professional summary

Dara Beth Day, who also goes by Dara Beth Newman, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Minnetonka, Minnesota and CETERA WEALTH SERVICES, LLC located in Minnetonka, Minnesota.

Dara is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Dara has worked at 16 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dara Beth Newman

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. NAME OF OTHER BUSINESS: ADVISORNET FINANCIAL; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 06/2025 POSITION/TITLE/RELATIONSHIP: AVP OPERATIONS; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 40; BRIEF DESCRIPTION OF DUTIES: WORKING WITHIN OPERATIONS TEAM;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dara Beth Day'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®

None

Experience

Current

June 27, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 110 Cheshire Lane Suite 200, Minnetonka, MN 55305

RIA

CRD#: 105644

MINNETONKA, MN

Current

June 26, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 110 Cheshire Lane Suite 200, Minnetonka, MN 55305

CRD#: 13572

Minnetonka, MN

Past

January 10, 2024 - July 31, 2024

CAPTRUST

RIA

CRD#: 175112

Norcross, GA

Past

December 14, 2023 - July 31, 2024

CRD#: 13494

ATLANTA, GA

Past

June 6, 2005 - August 20, 2008

TRUIST INVESTMENT SERVICES, INC.

RIA

CRD#: 17499

ATLANTA, GA

Past

December 16, 2004 - August 20, 2008

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

ATLANTA, GA

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

Minnesota
(6/26/2025)

IAR

Minnesota
(6/27/2025)

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: 3/10/2005

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: 12/15/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/18/2006

General Securities Principal 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

Dara B. Day

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dara Beth Day's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CAPTRUST

CAPFINANCIAL SECURITIES, LLC.

PACIFIC SELECT DISTRIBUTORS, LLC

CARDEA CAPITAL ADVISORS, LLC

AMERICAN GLOBAL WEALTH MANAGEMENT, INC.

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VIRTUS CAPITAL ADVISERS, LLC

FORESIDE ASSOCIATES, LLC

TRUIST INVESTMENT SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/10/2005

SIE

Date: 10/1/2018

Series 7

Date: 12/15/2004

Series 24

Date: 5/18/2006

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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