DD
Daniel J. Derrig
CETERA INVESTMENT ADVISERS LLC
AKRON, OH 44333
Some features on this profile are disabled
CRD#: 6407661
DD
Professional summary
Daniel Joseph Derrig, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Akron, Ohio and CETERA ADVISORS LLC located in Toledo, Ohio.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Daniel has worked at 5 firms and has passed the Series 66, 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. NAME OF OTHER BUSINESS: PROSPERITY ADVISORS LLC INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 10/2021, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 2. NAME OF OTHER BUSINESS: PROSPERITY TAX CENTER, LLC; INVESTMENT RELATED: NO; ADDRESS: 10955 LOWELL AVE, STE 900, OVERLAND PARK, KS 66210; NATURE OF BUSINESS: TAX SERVICE REFERRALS; START DATE: 11/2022; POSITION/TITLE/RELATIONSHIP: Referrer, APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: MAY REFER PROSPERITY ADVISORS, LLC CLIENTS FOR TAX SERVICES; 3. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 09/2024, APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT , BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, AND FIXED ANNUITIES; 4. NAME OF OTHER BUSINESS: MIDNIGHT ALPHA, LLC; INVESTMENT RELATED: NO, ADDRESS: SAME AS RESIDENTIAL LOCATION, NATURE OF BUSINESS: HOLDING COMPANY, START DATE: 1/2025, POSITION/TITLE/RELATIONSHIP: SOLE MEMBER, APX NUMBER OF HOURS PER WEEK: 0, APX NUMBER OF HOURS DURING TRADING HOURS: 0, BRIEF DESCRIPTION OF DUTIES: HOLDING COMPANY FOR TAX REPORTING PURPOSES;
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Joseph Derrig'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®
CFP®
Start date: 2021
Experience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 275 Springside Dr Ste 270, Akron, OH 44333Office #2: 24 N Erie St, Toledo, OH 43604RIA
CRD#: 105644
AKRON, OH
Current
November 10, 2021 - Present
CETERA ADVISORS LLC
Office #1: 24 N Erie St, Toledo, OH 43604Office #2: 275 Springside Dr Ste 270, Akron, OH 44333BD
CRD#: 10299
Toledo, OH
Past
November 15, 2021 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
AKRON, OH
Past
February 1, 2017 - November 12, 2021
THE HUNTINGTON INVESTMENT COMPANY
RIA
CRD#: 16986
AKRON, OH
Past
February 1, 2017 - November 12, 2021
THE HUNTINGTON INVESTMENT COMPANY
BD
CRD#: 16986
AKRON, OH
Past
December 15, 2015 - February 1, 2017
LPL FINANCIAL LLC
RIA
CRD#: 6413
AMHERST, WI
Past
December 15, 2015 - February 1, 2017
LPL FINANCIAL LLC
BD
CRD#: 6413
AMHERST, WI
Past
July 23, 2015 - December 16, 2015
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
CLEVELAND, OH
Past
June 1, 2015 - December 16, 2015
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
CLEVELAND, OH
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(1/3/2024)
RR
Arizona(11/18/2021)
RR
California(11/18/2021)
RR
Colorado(11/18/2021)
RR
Florida(11/18/2021)
RR
Hawaii(10/15/2024)
RR
Illinois(11/18/2021)
RR
Indiana(11/18/2021)
RR
Kentucky(11/30/2022)
RR
Massachusetts(11/18/2021)
RR
Michigan(11/18/2021)
RR
Missouri(9/13/2022)
RR
Montana(11/30/2022)
RR
Nebraska(9/20/2022)
RR
New Hampshire(11/18/2021)
RR
New York(11/18/2021)
RR
North Carolina(9/14/2022)
RR
Ohio(11/12/2021)
IAR
Ohio(3/21/2024)
RR
Oregon(11/18/2021)
RR
Pennsylvania(9/13/2022)
RR
South Carolina(11/18/2021)
RR
Texas(11/18/2021)
IAR
Texas(3/21/2024)
RR
Utah(11/18/2021)
RR
Virginia(11/18/2021)
RR
Washington(1/4/2023)
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
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Akron, OH 44333TRUST BUT VERIFY
Monitor Daniel Derrig
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
