Daniel M. Barrett
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Daniel Miller Barrett, who also goes by Dan Barrett, Daniel Barrett, Daniel Miller Barrett, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2020. Daniel had worked at 5 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 10, 2023 - September 25, 2025
CETERA INVESTMENT ADVISERS LLC
August 10, 2023 - September 25, 2025
CETERA WEALTH SERVICES, LLC
June 21, 2022 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
June 21, 2022 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
March 8, 2022 - June 9, 2022
MAINSTAY CAPITAL MANAGEMENT, LLC
February 3, 2021 - February 16, 2022
SECURIAN FINANCIAL SERVICES, INC.
February 3, 2021 - February 16, 2022
SECURIAN FINANCIAL SERVICES, INC.
October 16, 2020 - January 28, 2021
HANTZ FINANCIAL SERVICES, INC.
August 13, 2020 - January 28, 2021
HANTZ FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 8/13/2020
General Securities Representative ExaminationCurrent Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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.
