BD
Brandon K. Dalgarno
CETERA INVESTMENT ADVISERS LLC
CARLSBAD, CA 92008
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CRD#: 5008417
BD
Professional summary
Brandon K Dalgarno, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Carlsbad, California and CETERA WEALTH SERVICES, LLC located in Carlsbad, California.
Brandon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Brandon has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) D.E. FINANCIAL GROUP POSITION: Director of Financial Services NATURE: FINANCIAL SERVICES INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 12/01/2007 ADDRESS: 2965 Roosevelt St., Carlsbad CA 92008, DESCRIPTION: TRADING, ANALYSIS, CLIENT SERVICES, FINANCIAL PLAN PREPARATION, CLIENT MEETINGS 2) DALGARNO FINANCIAL SERVICES, LLC. POSITION: Managing Member NATURE: Business that pays my administrative assistant and expenses related to financial services. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2020 ADDRESS: 2965 Roosevelt Street, Carlsbad CA 92008-2335, DESCRIPTION: Accounting and payment of expenses related to financial services. 3) D.E. FINANCIAL SERVICES, LLC POSITION: Managing Member NATURE: D.E. Financial Services, LLC is the DBA to Dalgarno Financial Services, LLC. Firm name to be used when communicating with clients. INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2020 ADDRESS: 2725 Jefferson Street, Ste. 11, Carlsbad CA 92008, United States DESCRIPTION: Pay administrative assistant, pay expenses related to financial services job.
CRS (Client Relationship Summary) - RIA
Click below to view Brandon K Dalgarno'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®
CFP®
Start date: 2013
Experience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 2725 Jefferson Street Suite 11, Carlsbad, CA 92008RIA
CRD#: 105644
CARLSBAD, CA
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2725 Jefferson Street Suite 11, Carlsbad, CA 92008BD
CRD#: 13572
CARLSBAD, CA
Past
October 25, 2019 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
CARLSBAD, CA
Past
October 25, 2019 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
CARLSBAD, CA
Past
December 19, 2006 - October 25, 2019
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
CARLSBAD, CA
Past
December 19, 2006 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
CARLSBAD, CA
Past
April 10, 2006 - September 18, 2006
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
MENIFEE, CA
Past
January 1, 2006 - September 18, 2006
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
MENIFEE, CA
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(9/5/2025)
RR
California(9/5/2025)
IAR
California(9/5/2025)
RR
Colorado(9/5/2025)
RR
Florida(9/5/2025)
RR
Hawaii(9/5/2025)
RR
Illinois(9/5/2025)
RR
Indiana(9/5/2025)
RR
Massachusetts(9/5/2025)
RR
Minnesota(9/5/2025)
RR
Montana(9/5/2025)
RR
New Mexico(9/5/2025)
RR
New York(9/5/2025)
RR
North Carolina(9/5/2025)
RR
Tennessee(9/18/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Virginia(9/5/2025)
RR
Washington(9/5/2025)
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
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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.
