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Daniel Joseph Derrig

CFP®
CETERA INVESTMENT ADVISERS
TOLEDO, OH
·CRD# 6407661·11 years registered

Professional Summary

Daniel Joseph Derrig, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Toledo, 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.

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

More Resources

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Credentials

CFP®
Certified Financial PlannerSince 2021

Years of Experience

11 years registered in the securities industry

Current & Past Employments

Current

CETERA INVESTMENT ADVISERS LLCCurrent·CRD# 105644
RIA
1. 24 N Erie St, Toledo, OH 436042. 275 Springside Dr Ste 270, Akron, OH 44333
March 21, 2024 - Present
CETERA ADVISORS LLCCurrent·CRD# 10299
BD
1. 24 N Erie St, Toledo, OH 436042. 275 Springside Dr Ste 270, Akron, OH 44333
November 10, 2021 - Present

Past

CETERA ADVISORS LLCPast·CRD# 10299
RIA
Akron, OH
November 15, 2021 - March 21, 2024
THE HUNTINGTON INVESTMENT COMPANYPast·CRD# 16986
RIA
Akron, OH
February 1, 2017 - November 12, 2021
THE HUNTINGTON INVESTMENT COMPANYPast·CRD# 16986
BD
Akron, OH
February 1, 2017 - November 12, 2021
LPL FINANCIAL LLCPast·CRD# 6413
RIA
Amherst, WI
December 15, 2015 - February 1, 2017
LPL FINANCIAL LLCPast·CRD# 6413
BD
Amherst, WI
December 15, 2015 - February 1, 2017
THRIVENT INVESTMENT MANAGEMENT INC.Past·CRD# 18387
RIA
Cleveland, OH
July 23, 2015 - December 16, 2015
THRIVENT INVESTMENT MANAGEMENT INC.Past·CRD# 18387
BD
Cleveland, OH
June 1, 2015 - December 16, 2015

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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 - SEC (1/13/1984 Approved)

Contact Information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Phone Number

(310) 257-7880

# of Employees

10,251

SEC notice filing (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory Assets Under Management

Total Number of Accounts

813,961

AUM (Assets Under Management)

$256,813,748,739

Accountant Surprise Examination Report

Filing DateForm ADV-E CoverForm ADV-E Report
09/25/2026Cover PageReport
10/27/2025Cover PageReport
12/13/2024Cover PageReport
09/26/2023Cover PageReport

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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;

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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 - SEC (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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
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
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 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
Tennessee
(10/1/2026)
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)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Jul 2015About the Series 66 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jun 2015About the Series 7 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Daniel Joseph Derrig's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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