DK
Daryl S. Krogmann
CETERA INVESTMENT ADVISERS LLC
MARIETTA, GA 30062
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CRD#: 5328971
DK
Professional summary
Daryl Scott Krogmann is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Marietta, Georgia and CETERA INVESTMENT SERVICES LLC located in Marietta, Georgia.
Daryl is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Daryl has worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 24 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.)CHAIRMAN/VOLUNTEER FOR ROTARY YOUTH EXCHANGE FLORIDA. OVERSEA ROTARY DISTRICTS IN FLORIDA TO ENSURE STUDENTS HAVE SUCCESSFUL EXCHANGE YEARS. PAPERWORK, ORGANIZING AND LEADING ORIENTATIONS 4X/YEAR. DEVELOPING AND FOSTERING PARTNERSHIPS ABROAD. DATABASE MANAGEMENT. VOLUNTEER, NO COMPENSATION, 5 HOURS PER WEEK.
2. CHURCH COUNCIL MEMBER -ST. JOHNS LUTHERAN CHURCH-PROVIDING LEADERSHIP AND GUIDANCE <1HR W
CRS (Client Relationship Summary) - RIA
Click below to view Daryl Scott Krogmann'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 9, 2014 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 2486 Roswell Road Ne, Marietta, GA 30062RIA
CRD#: 105644
MARIETTA, GA
Current
February 27, 2014 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 2486 Roswell Road Ne, Marietta, GA 30062Office #2: 290 South Pleasantburg Drive, Greenville, SC 29607Office #3: 2255 Towne Lake Parkway, Woodstock, GA 30189Office #4: 120 Keys Ferry Street, Mcdonough, GA 30253Office #5: 1650 Cumberland Parkway Se, Smyrna, GA 30080Office #6: 6636 Church Street, Douglasville, GA 30134Office #7: 620 E Main Street, Catersville, GA 30121BD
CRD#: 15340
Marietta, GA
Past
August 7, 2007 - September 13, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
ORLANDO, FL
Past
July 19, 2007 - September 13, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
ORLANDO, FL
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
Alabama(11/18/2020)
RR
Florida(1/17/2023)
RR
Georgia(3/4/2020)
IAR
Georgia(6/25/2021)
RR
Massachusetts(7/3/2024)
RR
North Carolina(7/2/2021)
RR
Pennsylvania(8/27/2024)
RR
South Carolina(8/9/2021)
IAR
South Carolina(8/11/2021)
RR
Tennessee(2/10/2016)
IAR
Tennessee(6/27/2016)
Exams
State Security Law Exam
General 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
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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.
