DR
Dana Rodrigues
CETERA INVESTMENT ADVISERS LLC
WAKEFIELD, MA 01880
Some features on this profile are disabled
CRD#: 5659960
DR
Professional summary
Dana Rodrigues is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Wakefield, Massachusetts and CETERA ADVISORS LLC located in Wakefield, Massachusetts.
Dana is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Dana has worked at 6 firms and has passed the Series 65, Series 63, 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)FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FIXED INSURANCE, INSURANCE AGENT, APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, SELLS LIFE, DISABILITY, HEALTH, ANNUITIES, AND LONG TERM CARE
(2) NAME OF OTHER BUSINESS: AFFILIATED FINANCIAL GROUP ;
INVESTMENT RELATED: YES
ADDRESS: SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: FINANCIAL SERVICES
START DATE: 11/2016 ;
POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR / IAR ;
APX NUMBER OF HOURS PER WEEK: 40
APX NUMBER OF HOURS DURING TRADING HOURS: 32.5
BRIEF DESCRIPTION OF DUTIES: FINANCIAL PLANNING, INSURANCE & ESTATE PLANNING SERVICES ;
(3)PSDA REALTY TRUST, NOT INVESTMENT RELATED, 157 LIBERTY ST, N. ANDOVER, MA 01845, REAL ESTATE, STARTED 1987, OWNER, APX 5 HOURS PER WEEK, MAY BE DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: OVERSEE AND MANAGE
(4)OMNI MORTGAGE, NOT INVESTMENT RELATED, 215 MAIN ST, SUITE 3, SALEM, MA 03079, MORTGAGE COMPANY, AGENT, APX 10 HOURS PER WEEK, MAY BE DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: PROVIDE MORTGAGES AS PART OF FINANCIAL PLANNING .
(5) AFFILIATED FINANCIAL SERVICE, NOT INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, TAX AND ACCOUNTING, STARTED 2/2017, PART OWNER, APX 3HOURS PER WEEK, DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: TAX PREP, BOOKKEEPING, PROPERTY AND CASUALTY INSURANCE.
(6) NAME OF OTHER BUSINESS: FINANCIAL EDUCATION PARTNERSHIP ;
INVESTMENT RELATED: NO
ADDRESS: 3 RESEARCH BLVD SUITE 210, ROCKVILLE MD 20850 ;
NATURE OF BUSINESS: NON-PROFIT ;
START DATE: 04/2020 ;
POSITION/TITLE/RELATIONSHIP: EDUCATOR ;
APX NUMBER OF HOURS PER WEEK: 5 ;
APX NUMBER OF HOURS DURING TRADING HOURS: 5 ;
BRIEF DESCRIPTION OF DUTIES: PROVIDING EDUCATIONAL WORKSHOPS ON GENERAL TOPICS ;
CRS (Client Relationship Summary) - RIA
Click below to view Dana Rodrigues'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
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1 Albion Street 3rd Floor, Wakefield, MA 01880Office #2: 191 Main Street, Reading, MA 01867RIA
CRD#: 105644
WAKEFIELD, MA
Current
October 3, 2016 - Present
CETERA ADVISORS LLC
Office #1: 1 Albion Street 3rd Floor, Wakefield, MA 01880BD
CRD#: 10299
Wakefield, MA
Past
March 15, 2017 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
November 9, 2015 - October 3, 2016
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
WAKEFIELD, MA
Past
January 2, 2015 - November 6, 2015
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
WAKEFIELD, MA
Past
December 6, 2010 - January 2, 2015
NEW ENGLAND SECURITIES
BD
CRD#: 615
WAKEFIELD, MA
Past
July 27, 2009 - July 30, 2010
BRIGHT TRADING, LLC
BD
CRD#: 34702
HENDERSON, NV
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
California(7/8/2020)
RR
Colorado(11/4/2025)
RR
Connecticut(1/4/2017)
RR
Florida(10/4/2016)
RR
Maine(8/28/2019)
RR
Massachusetts(10/3/2016)
IAR
Massachusetts(3/21/2024)
RR
Nevada(10/15/2021)
RR
New Hampshire(10/3/2016)
RR
New Jersey(12/12/2019)
RR
New York(10/3/2016)
RR
Pennsylvania(8/30/2021)
Exams
State Security Law Exam
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Wakefield, MA 01880TRUST BUT VERIFY
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