DP
Daniel L. Polachek
CETERA INVESTMENT ADVISERS LLC
NORTHHAMPTON, MA 01061
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CRD#: 5861537
DP
Professional summary
Daniel Lee Polachek, who also goes by Daniel L Polachek, Daniel Polachek, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Northhampton, Massachusetts and CETERA WEALTH SERVICES, LLC located in Northampton, Massachusetts.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Daniel has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Daniel L Polachek | Daniel Polachek
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) NORTHAMPTON WRESTLING INC POSITION: President NATURE: Assistance with the operation of the organization. Providing opportunities for the youth to compete and train in the sport of wrestling. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/30/2015 808 Florence rd, Florence MA 01062, Manage the organization to remain compliant with federal and state guidelines. Help with organizing fundraising, support for the local high school team. 2) DANIEL W POLACHEK PC POSITION: Chief Executive Officer NATURE: CPA -accounting & tax practice tax preparation tax client meeting bookkeeping/write up tax projections/planning client contacts INVESTMENT RELATED: No NUMBER OF HOURS: 280 SECURITIES TRADING HOURS: 130 START DATE: 01/01/2007; 335 South St, Northampton MA 01061, operating the accounting day to day tax preparation financial statement preparation payroll report preparation write up & bookkeeping 3) PEAK ADVISOR GROUP POSITION: Partner NATURE: Full-Service wealth management firm affiliated with our broker dealer Avantax INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 05/17/2023 ADDRESS: 335 South Street, PO Box 234, Northampton MA 01061, United States DESCRIPTION: Operating Investment Advisory Services Company. Financial Planning Investment Advisory Wealth Management Retirement Planning 4) REV IND TR OF DANIEL W POLACHEK POSITION: CO TRUSTEE NATURE: CO TRUSTEE OF MY FATHERS TRUST INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 05/18/2023 ADDRESS: 95 JACKSON ST, NORTHAMPTON MA 01060, United States DESCRIPTION: MANGAGE TRUST PROPERTY ACCORDING TO TRUST DOCUMENTS
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Lee Polachek'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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 335 South Street, Northhampton, MA 01061RIA
CRD#: 105644
NORTHHAMPTON, MA
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 335 South Street, Northampton, MA 01061BD
CRD#: 13572
NORTHAMPTON, MA
Past
December 21, 2022 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
NORTHHAMPTON, MA
Past
November 15, 2022 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
NORTHAMPTON, MA
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(9/5/2025)
RR
Florida(9/5/2025)
RR
Maine(9/5/2025)
RR
Massachusetts(9/5/2025)
IAR
Massachusetts(9/5/2025)
RR
New York(9/5/2025)
RR
Pennsylvania(9/5/2025)
RR
Vermont(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/15/2022
General Securities Representative ExaminationGeneral 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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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Northhampton, MA 01061TRUST BUT VERIFY
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