DS
Dana H. Stallings
CETERA INVESTMENT ADVISERS LLC
MUNCIE, IN 47303
Some features on this profile are disabled
CRD#: 4942231
DS
Professional summary
Dana Harris Wiltsey Stallings, who also goes by Daniel H. W. Stallings, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Muncie, Indiana and CETERA ADVISORS LLC located in Muncie, Indiana.
Dana is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Dana 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 H. W. Stallings
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. NATIONAL ASSOCIATION OF INSURANCE; BOARD MEMBER (PRESIDENT ELECT); MARKETING OR PROFESSIONAL/BUSINESS NETWORKING; START DATE 07/01/2020; 4 HOURS PER MONTH. 2. STALLINGS WEALTH MANAGEMENT; PRESIDENT; DBA; START DATE: 9/1/2020; 160 HOURS PER MONTH. 3. HEART OF INDIANA UNITED WAY; BOARD OF DIRECTORS, MEMBER; NON-PROFIT ORGANIZATION; START DATE 07/01/2021; 4 HOURS PER MONTH. 4. INSURANCE; ADVISOR; INSURANCE (FIXED/LIFE/HEALTH/P&C); START DATE 05/20/2021; 8 HOURS PER MONTH. 5. FULL CIRCLE INVESTMENT ADVISORS; IAR; DBA; START DATE: 06/01/2021; 160 HOURS PER MONTH. 6. NAME OF OTHER BUSINESS: COMMUNITY FOUNDATION OF MUNCIE & DELAWARE COUNTY; INVESTMENT RELATED: NO; ADDRESS: 302 E. JACKSON STREET MUNCIE, IN 47305; NATURE OF BUSINESS: COMMUNITY FOUNDATION; START DATE: 04/2021; POSITION/TITLE/RELATIONSHIP: MEMBER/INVESTMENT COMMITTEE; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: COMMUNITY FOUNDATION MEMBER; 7. NAME OF OTHER BUSINESS: COMMUNITY FOUNDATION OF MUNCIE & DELAWARE COUNTY; INVESTMENT RELATED: NO; ADDRESS: 302 E. JACKSON STREET MUNCIE, IN 47305; NATURE OF BUSINESS: COMMUNITY FOUNDATION; START DATE: 06/2023; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: SUPPORTS THE COMMUNITIES NEEDS THROUGH GRANTS RAISED BY COMMUNITY PARTNERS;
CRS (Client Relationship Summary) - RIA
Click below to view Dana Harris Wiltsey Stallings'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
November 12, 2020 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1416 W Jackson St, Muncie, IN 47303Office #2: 3700w. Bethel Avenue, Muncie, IN 47304RIA
CRD#: 105644
MUNCIE, IN
Current
September 8, 2022 - Present
CETERA ADVISORS LLC
Office #1: 1416 W. Jackson Street, Muncie, IN 47303BD
CRD#: 10299
Muncie, IN
Past
September 1, 2020 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
MUNCIE, IN
Past
September 1, 2020 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
MUNCIE, IN
Past
August 9, 2012 - September 2, 2020
AMERICAN PORTFOLIOS ADVISORS, INC
RIA
CRD#: 112697
HOLBROOK, NY
Past
August 8, 2012 - September 2, 2020
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
BD
CRD#: 18487
MUNCIE, IN
Past
July 3, 2007 - August 13, 2012
NEW ENGLAND SECURITIES
RIA
CRD#: 615
MUNCIE, IN
Past
July 26, 2006 - August 13, 2012
NEW ENGLAND SECURITIES
BD
CRD#: 615
MUNCIE, IN
Past
June 2, 2005 - August 1, 2006
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
INDIANAPOLIS, IN
Past
May 20, 2005 - August 1, 2006
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
INDIANAPOLIS, IN
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
Arizona(2/22/2024)
RR
California(9/8/2022)
RR
Florida(9/8/2022)
RR
Illinois(9/8/2022)
IAR
Indiana(11/12/2020)
RR
Indiana(9/8/2022)
RR
Kentucky(9/8/2022)
RR
Maryland(5/2/2023)
RR
Massachusetts(9/8/2022)
RR
Michigan(9/8/2022)
RR
Missouri(10/17/2023)
RR
Nevada(9/8/2022)
RR
New Hampshire(10/6/2022)
RR
New York(9/8/2022)
RR
North Carolina(9/8/2022)
RR
Ohio(9/8/2022)
RR
Pennsylvania(8/12/2024)
RR
South Carolina(9/8/2022)
RR
Texas(9/8/2022)
IAR
Texas(11/3/2022)
Exams
State Security Law 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
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.
