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Daniel Heaton

CETERA INVESTMENT ADVISERS
WARR ACRES, OK
·CRD# 6550232·11 years experience

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...

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Daniel Medford Heaton

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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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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Years of Experience

11 years in the financial services industry

Current & Past Employments

CETERA INVESTMENT ADVISERS LLC·CRD# 105644
RIA
5560 Nw 72 St Bldg A, Warr Acres, OK 73132
June 29, 2023 - Present
CETERA WEALTH SERVICES, LLC·CRD# 13572
BD
5560 Nw 72 St Bldg A, Warr Acres, OK 73132
January 6, 2020 - Present
CETERA WEALTH SERVICES, LLC·CRD# 13572
RIA
El Segundo, CA
April 6, 2023 - June 29, 2023
FARMERS FINANCIAL SOLUTIONS, LLC·CRD# 103863
BD
Warr Acres, OK
November 16, 2015 - October 8, 2019

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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

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;

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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
Colorado
(4/30/2026)
RR
Oklahoma
(1/6/2020)
IAR
Oklahoma
(6/29/2023)
RR
Texas
(4/6/2023)
IAR
Texas
(6/29/2023)

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 Dec 2022About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Nov 2015About the Series 63 exam

Series 7TO — General Securities Representative Examination

Passed Jul 2021About the Series 7TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Nov 2015About the Series 6 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - RIA

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

CRS (Customer Relationship Summary)

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DH
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