DB
Dana S. Branham
CETERA INVESTMENT ADVISERS LLC
CHARLOTTE, NC
Some features on this profile are disabled
CRD#: 5257825
DB
Professional summary
Dana S Branham, who also goes by Dana S. Branham, Dana Branham, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Charlotte, North Carolina and CETERA INVESTMENT SERVICES LLC located in El Segundo, California.
Dana is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Dana has worked at 9 firms and has passed the Series 66, Series 6TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dana S. Branham | Dana Branham
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: REAL ESTATE BROKER - REFERRALS ONLY INVESTMENT RELATED: NO ADDRESS: CHARLOTTE, NC NATURE OF BUSINESS: REAL ESTATE START DATE: 05/2016 POSITION/TITLE/RELATIONSHIP: REAL ESTATE BROKER - REFERRALS ONLY APX NUMBER OF HOURS PER WEEK: 0 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: CURRENTLY ONLY REFER BUSINESS TO OTHER AGENTS IF IT COMES. 2. NAME OF OTHER BUSINESS: ALPHA KAPPA ALPHA SORORITY, INC INVESTMENT RELATED: NO ADDRESS: CHICAGO, IL NATURE OF BUSINESS: ORGANIZATIONS INT'L INVESTMENT COMMITTEE START DATE: 07/2022 POSITION/TITLE/RELATIONSHIP: CHAIRMAN - INTERNATIONAL INVESTMENT COMMITTEE APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: WORK WITH PORTFOLIO MANAGERS AT BOFA AND MORGAN STANLEY TO ENSURE POLICIES ARE IN PPLACE FOR PEAK PERFORMANCE OF INVESTMENTS ON BEHALF OF ORGANIZATION AND MEMBERS 3. NAME OF OTHER BUSINESS: AUTHOR INVESTMENT RELATED: NO ADDRESS: CHARLOTTE, NC NATURE OF BUSINESS: AUTHOR OF BOOK SOLD ON AMAZON START DATE: 02/2019 POSITION/TITLE/RELATIONSHIP: AUTHOR APX NUMBER OF HOURS PER WEEK: 3 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: AUTHOR
CRS (Client Relationship Summary) - RIA
Click below to view Dana S Branham'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
May 16, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #2: 2301 Rosecrans Ave Ste #5100, El Segundo, CA 90245RIA
CRD#: 105644
CHARLOTTE, NC
Current
May 16, 2025 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 2301 Rosecrans Ave Ste #5100, El Segundo, CA 90245BD
CRD#: 15340
El Segundo, CA
Current
May 16, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245BD
CRD#: 13572
El Segundo, CA
Current
May 16, 2025 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245BD
CRD#: 10358
El Segundo, CA
Current
May 16, 2025 - Present
CETERA ADVISORS LLC
Office #1: 2301 Rosecrans Ave Ste #5100, El Segundo, CA 90245BD
CRD#: 10299
El Segundo, CA
Past
January 9, 2019 - April 24, 2025
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MILL, SC
Past
January 9, 2019 - April 24, 2025
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
September 24, 2018 - December 13, 2018
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
GREENSBORO, NC
Past
September 24, 2018 - December 13, 2018
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
GREENSBORO, NC
Past
April 13, 2012 - October 9, 2018
LPL FINANCIAL LLC
RIA
CRD#: 6413
LEXINGTON, KY
Past
April 13, 2012 - October 9, 2018
LPL FINANCIAL LLC
BD
CRD#: 6413
LEXINGTON, KY
Past
January 7, 2008 - April 11, 2012
EDWARD JONES
RIA
CRD#: 250
LEXINGTON, KY
Past
January 7, 2008 - April 11, 2012
EDWARD JONES
BD
CRD#: 250
LEXINGTON, KY
Past
February 21, 2007 - October 15, 2007
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
LEXINGTON, KY
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
IAR
North Carolina(5/16/2025)
RR
North Carolina(5/19/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
