DH
Daniel Heaton
CETERA INVESTMENT ADVISERS
WARR ACRES, OK 73132
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CRD#: 6550232
DH
Daniel HeatonCETERA INVESTMENT ADVISERS
Professional summary
Daniel Heaton, who also goes by Daniel Medford Heaton, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Warr Acres, Oklahoma and CETERA WEALTH SERVICES, LLC located in Warr Acres, Oklahoma.
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 3 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.
Aliases
Daniel Medford Heaton
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: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 11/2019 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 ANNUITIES 2. NAME OF OTHER BUSINESS: LADYBUG BAITS, LLC INVESTMENT RELATED: NO ADDRESS: 16717 RAINWATER TRAIL EDMOND OK NATURE OF BUSINESS: COATINGS START DATE: 06/2010 POSITION/TITLE/RELATIONSHIP: PRESIDENT APX NUMBER OF HOURS PER WEEK: 10 APX NUMBER OF HOURS DURING TRADING HOURS: 10 BRIEF DESCRIPTION OF DUTIES: OWNER AND PRESIDENT 3. NAME OF OTHER BUSINESS: APEX FINANCIAL SOLUTIONS, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVCIES START DATE: 11/2019 POSITION/TITLE/RELATIONSHIP: REPRESENTATIVE APX NUMBER OF HOURS PER WEEK: 25 APX NUMBER OF HOURS DURING TRADING HOURS: 25 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES 4. NAME OF OTHER BUSINESS: LADYBUG HOLDING INVESTMENT RELATED: NO ADDRESS: 16717 RAINWATER TRAIL EDMOND, OK NATURE OF BUSINESS: MINERAL RIGHTS START DATE: 06/2010 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: MINIMAL APX NUMBER OF HOURS DURING TRADING HOURS: MINIMAL BRIEF DESCRIPTION OF DUTIES: OWNER OF LLC FOR MINERAL RIGHTS 5. NAME OF OTHER BUSINESS: HEATON INSURANCE AGENCY, LLC INVESTMENT RELATED: YES ADDRESS: 5560 NW 72ND WARR ACRES OK NATURE OF BUSINESS: INSURANCE START DATE: 11/2015 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: MINIMAL APX NUMBER OF HOURS DURING TRADING HOURS: MINIMAL BRIEF DESCRIPTION OF DUTIES: AGENCY IS NON-OPERATIONAL AND IN PROCESS OF WINDING DOWN 6. NAME OF OTHER BUSINESS: APEX WEALTH MANAGEMENT, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 11/2025, 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; 7. NAME OF OTHER BUSINESS: VETS REEL RECOVERY; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: NON-PROFIT; START DATE: 4/2026; POSITION/TITLE/RELATIONSHIP: FOUNDER/INCORPORATOR; APX NUMBER OF HOURS PER WEEK: 20; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: NONPROFIT PROVIDING THERAPEUTIC FISHING, ROD-BUILDING/BAIT PRODUCTION TRAINING, SKILL DEVELOPMENT, AND LONG-TERM LAND-BASED SUPPORT FOR VETERAN MENTAL HEALTH AND REINTEGRATION IN THE OKLAHOMA CITY AREA;
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Heaton'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
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 5560 Nw 72 St Bldg A, Warr Acres, OK 73132RIA
CRD#: 105644
WARR ACRES, OK
Current
January 6, 2020 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 5560 Nw 72 St Bldg A, Warr Acres, OK 73132BD
CRD#: 13572
WARR ACRES, OK
Past
April 6, 2023 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
November 16, 2015 - October 8, 2019
FARMERS FINANCIAL SOLUTIONS, LLC
BD
CRD#: 103863
WARR ACRES, OK
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
Colorado(4/30/2026)
RR
Oklahoma(1/6/2020)
IAR
Oklahoma(6/29/2023)
RR
Texas(4/6/2023)
IAR
Texas(6/29/2023)
Exams
What does exam status mean?
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Passed: 7/16/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 6
Passed: 11/15/2015
Investment Company Products/Variable Contracts Representative Examination
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)Loading...
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
10,251
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 813,961 |
| AUM (Assets Under Management) | $ 256,813,748,739 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 |
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.
