DH
Daniel Heims
CETERA INVESTMENT ADVISERS LLC
WILLIAMSVILLE, NY
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CRD#: 7649487
DH
Professional summary
Daniel Heims, who also goes by Daniel J Heims, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Williamsville, New York and CETERA WEALTH SERVICES, LLC located in Williamsville, New York.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2024. Daniel has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Daniel J Heims
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) THE RIDE FOR ROSWELL POSITION: Route Operations Committee Member NATURE: Ride for Roswell is one of the nation's largest charity cycling events that brings a community of people together to celebrate cancer survivors, pay tribute to those we've lost and share in the passion that connects us all: finding cures for cancer. Funds raised go towards research and clinical trials INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2012 ADDRESS: Elm and Carlton Streets, Buffalo NY 14263 DESC: volunteer role; work w/ other volunteers to provide thoughts and ideas on the route logistics for The Ride For Roswell. On Ride Day, I assist in the Route Operations Center keeping a virtual eye on what is happening on the routes. 2) THE HEIMS CO. INC POS: Chief Operations Manager NATURE: Josh Heims the owner of this entity uses this entity to process payroll and pay business expenses for Lincoln Sparrow Advisors, LLC. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/13/2022 ADDRESS: 5920 Main Street, Suite 200, Williamsville NY 14221DESCRIPTION: I have no duties tied to this entity, I am simply compensated through this entity 3)LINCOLN SPARROW ADVISORS, LLC POSITION: Chief Operations Manager NATURE: financial planning, investment planning, and retirement planning. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 10/13/2022 ADDRESS: 5920 Main Street, Suite 200, Williamsville NY 14221 DESCRIPTION: Answer phones, set up client appointments, assist with documentation, support advisor needs, and other general office management responsibilities. 4) COUNTRY PARKWAY PTA POSITION: SEPTSA (Special Education Parent Teacher Student Association) Rep NATURE: Country Parkway PTA: It is the PTA's MISSION to make every child's potential a reality by engaging and empowering families INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2022 ADDRESS: 35 Hollybrook Dr, Williamsville NY 14221 DESCRIPTION: I go to the Country Parkway PTA meetings. 2. report to Country Parkway PTA about what is happening with SEPTSA (events, workshops, presentations), etc 5) LINCOLN SPARROW ADVISORS, LLC POSITION: Chief Operations Manager NATURE: financial planning, investment planning, and retirement planning. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 10/13/2022 ADDRESS: 5920 Main Street, Williamsville NY 14221, United States DESCRIPTION: Answer phones, set up client appointments, assist with documentation, support advisor needs, and other general office management responsibilities. 6) BEARINGSTONE WEALTH POSITION: Office Manager / Registered Client Service Associate NATURE: Run the day to day operations of the office, financial planning, investment planning, and retirement planning INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 01/01/2025 ADDRESS: 5920 Main Street, Williamsville NY 14221, United States DESCRIPTION: Answer phones, set up client appointments, assist with documentation, support advisor needs, and other general office management responsibilities
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Heims'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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
WILLIAMSVILLE, NY
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 5920 Main Street, Williamsville, NY 14221BD
CRD#: 13572
Williamsville, NY
Past
July 19, 2024 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Williamsville, NY
Past
January 26, 2024 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Williamsville, NY
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
New York(9/5/2025)
IAR
New York(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/26/2024
General Securities Representative ExaminationGeneral 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
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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.
