DM
Daniel D. Maloney
AVANTAX PLANNING PARTNERS
FISHERS, IN
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CRD#: 5721999
DM
Professional summary
Daniel Douglas Maloney, who also goes by Dan Maloney, Daniel Maloney, is a registered financial advisor currently at AVANTAX PLANNING PARTNERS, INC. located in Fishers, Indiana and CETERA INVESTMENT ADVISERS LLC located in Fishers, Indiana.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Daniel has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dan Maloney | Daniel Maloney
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) Challenge Entertainment Type of business: Bar Trivia Indianapolis, IN Start date: 3/23/2017 Trivia Jockey, non-owner Hours per week: 3 Hours during trading: 0 Run weekly trivia game at Bier Brewery in Carmel, IN. Encourage patrons to play, read questions, keep score. 2) ALPHA KAPPA LAMBDA POSITION: National Executive Council NATURE: Advisory board for the national fraternity of Alpha Kappa Lambda. We oversee, organize, and budget for the operations and expansion of fratneral chapters on various college campuses. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2019 ADDRESS: 354 Gradle Dr, Carmel IN 46032, United States DESCRIPTION: I am an at-large member and part of the expansion committee.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Douglas Maloney'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
February 8, 2021 - Present
AVANTAX PLANNING PARTNERS, INC.
Office #2: 8604 Allisonville Road Suite 390, Indianapolis, IN 46250RIA
CRD#: 106237
FISHERS, IN
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #2: 8604 Allisonville Road Suite 390, Indianapolis, IN 46250RIA
CRD#: 105644
FISHERS, IN
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 8604 Allisonville Road Suite 390, Indianapolis, IN 46250BD
CRD#: 13572
INDIANAPOLIS, IN
Past
February 13, 2025 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Fishers, IN
Past
February 11, 2021 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
INDIANAPOLIS, IN
Past
August 25, 2020 - February 2, 2021
THURSTON SPRINGER ADVISORS
RIA
CRD#: 299201
INDIANAPOLIS, IN
Past
June 26, 2019 - February 2, 2021
THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.
RIA
CRD#: 8478
INDIANAPOLIS, IN
Past
June 26, 2019 - February 2, 2021
THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.
BD
CRD#: 8478
INDIANAPOLIS, IN
Past
January 4, 2010 - May 10, 2019
EDWARD JONES
RIA
CRD#: 250
INDIANAPOLIS, IN
Past
December 18, 2009 - May 10, 2019
EDWARD JONES
BD
CRD#: 250
INDIANAPOLIS, IN
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(9/5/2025)
RR
Arizona(9/5/2025)
RR
Arkansas(9/5/2025)
RR
California(9/5/2025)
RR
Colorado(9/5/2025)
RR
Florida(9/5/2025)
RR
Georgia(9/5/2025)
RR
Illinois(9/5/2025)
IAR
Indiana(2/8/2021)
RR
Indiana(9/5/2025)
RR
Iowa(9/5/2025)
RR
Kansas(9/5/2025)
RR
Kentucky(9/5/2025)
RR
Louisiana(9/5/2025)
RR
Massachusetts(9/5/2025)
RR
Michigan(9/5/2025)
RR
Minnesota(9/5/2025)
RR
Missouri(9/5/2025)
RR
New Jersey(9/5/2025)
RR
New Mexico(9/5/2025)
RR
New York(9/5/2025)
RR
North Carolina(9/5/2025)
RR
North Dakota(9/5/2025)
RR
Ohio(9/5/2025)
RR
Oregon(9/5/2025)
RR
Pennsylvania(9/5/2025)
RR
South Carolina(9/5/2025)
RR
South Dakota(9/5/2025)
RR
Tennessee(9/5/2025)
IAR
Texas(3/12/2025)
RR
Texas(9/5/2025)
RR
West Virginia(9/5/2025)
RR
Wisconsin(9/5/2025)
RR
Wyoming(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
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.
