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DS

Daniel L. Shepherd

CETERA INVESTMENT ADVISERS
DALLAS, TX 75019
CRD#: 5201047
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DS
Daniel Lee ShepherdCETERA INVESTMENT ADVISERS

Professional summary

Daniel Lee Shepherd, who also goes by Daniel L Shepherd, Daniel Lee Shepherd, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Dallas, Texas and CETERA INVESTMENT SERVICES LLC located in Dallas, Texas.

Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Daniel has worked at 14 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Daniel L Shepherd | Daniel Lee Shepherd

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 Lee Shepherd'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 10, 2026 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 3200 Olympus Blvd Suite 100, Dallas, TX 75019
RIA
CRD#: 105644
DALLAS, TX
Current

June 9, 2026 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 3200 Olympus Blvd Ste 100, Dallas, TX 75019
BD
CRD#: 15340
DALLAS, TX
Current

June 9, 2026 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 3200 Olympus Blvd Ste 100, Dallas, TX 75019
BD
CRD#: 13572
DALLAS, TX
Current

June 9, 2026 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 3200 Olympus Blvd Ste 100, Dallas, TX 75019
BD
CRD#: 10358
DALLAS, TX
Current

June 9, 2026 - Present

CETERA ADVISORS LLC

Office #1: 3200 Olympus Blvd Ste 100, Dallas, TX 75019
BD
CRD#: 10299
DALLAS, TX
Past

April 25, 2024 - April 17, 2025

ALTRUIST FINANCIAL LLC

BD
CRD#: 299274
DALLAS, TX
Past

September 24, 2020 - April 18, 2024

ROBINHOOD FINANCIAL, LLC

BD
CRD#: 165998
Westlake, TX
Past

July 29, 2016 - September 1, 2020

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
Westlake, TX
Past

July 29, 2016 - September 1, 2020

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
Westlake, TX
Past

November 5, 2015 - July 7, 2016

ALLSTATE FINANCIAL ADVISORS, LLC

RIA
CRD#: 109524
Hurst, TX
Past

November 5, 2015 - July 7, 2016

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
WATAUGA, TX
Past

October 23, 2013 - August 4, 2015

USAA FINANCIAL PLANNING SERVICES

RIA
CRD#: 106352
ADDISON, TX
Past

October 23, 2013 - August 4, 2015

USAA FINANCIAL ADVISORS, INC.

BD
CRD#: 129035
ADDISON, TX
Past

June 5, 2013 - October 14, 2013

TD AMERITRADE, INC.

RIA
CRD#: 7870
FORT WORTH, TX
Past

June 5, 2013 - October 14, 2013

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 111514
FORT WORTH, TX
Past

May 21, 2007 - October 14, 2013

TD AMERITRADE, INC.

BD
CRD#: 7870
FORT WORTH, TX

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
Texas
(6/9/2026)
IAR
Texas
(6/10/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/3/2013
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 6/26/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 7/15/2018
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 5/17/2007
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 6/28/2017
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 3/11/2017
General Securities Sales Supervisor - Options Module Examination
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)
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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 Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644Dallas, TX 75019

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