AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Why AdvisorCheck
DB

Daniel James Battillo

CETERA INVESTMENT ADVISERS
ORLANDO, FL
·CRD# 7781048·3 years experience

Professional Summary

Daniel James Battillo is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Orlando, Florida and CETERA WEALTH SERVICES, LLC located in Orlando, Florida. Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Daniel has worked at 2 firms and has passed the Series 66, Series 7TO and SIE 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

Similar Advisors

ML
Martha Elizabeth Linsley

MORGAN STANLEY & CO. LLC

NEW YORK, NY · CRD#
View profile
DF
Daniel Eugene Fisher SR

AMERIPRISE FINANCIAL SERVICES, LLC

MINNEAPOLIS, MN · CRD#
Elizabeth Katz Miller
Elizabeth Katz Miller

SUMMIT PLACE FINANCIAL ADVISORS, LLC

SUMMIT, NJ · CRD#

Videos & Posts

This advisor has not added any videos or posts yet.

Similar Advisors

ML
Martha Elizabeth Linsley

MORGAN STANLEY & CO. LLC

NEW YORK, NY · CRD#
Devlin William Carothers
Devlin William Carothers

AMERIPRISE FINANCIAL SERVICES, LLC

VANCOUVER, WA · CRD#
DF
Daniel Eugene Fisher SR

AMERIPRISE FINANCIAL SERVICES, LLC

MINNEAPOLIS, MN · CRD#
Elizabeth Katz Miller
Elizabeth Katz Miller

SUMMIT PLACE FINANCIAL ADVISORS, LLC

SUMMIT, NJ · CRD#

Contact Information

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

Similar Advisors

ML
Martha Elizabeth Linsley

MORGAN STANLEY & CO. LLC

NEW YORK, NY · CRD#
Devlin William Carothers
Devlin William Carothers

AMERIPRISE FINANCIAL SERVICES, LLC

VANCOUVER, WA · CRD#
DF
Daniel Eugene Fisher SR

AMERIPRISE FINANCIAL SERVICES, LLC

MINNEAPOLIS, MN · CRD#
Elizabeth Katz Miller
Elizabeth Katz Miller

SUMMIT PLACE FINANCIAL ADVISORS, LLC

SUMMIT, NJ · CRD#

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.

Similar Advisors

ML
Martha Elizabeth Linsley

MORGAN STANLEY & CO. LLC

NEW YORK, NY · CRD#
Devlin William Carothers
Devlin William Carothers

AMERIPRISE FINANCIAL SERVICES, LLC

VANCOUVER, WA · CRD#
DF
Daniel Eugene Fisher SR

AMERIPRISE FINANCIAL SERVICES, LLC

MINNEAPOLIS, MN · CRD#
Elizabeth Katz Miller
Elizabeth Katz Miller

SUMMIT PLACE FINANCIAL ADVISORS, LLC

SUMMIT, NJ · CRD#

Years of Experience

3 years in the financial services industry

Current & Past Employments

Current

CETERA INVESTMENT ADVISERS LLCCurrent·CRD# 105644
RIA
1615 Edgewater Drive Suite 150, Orlando, FL 32804
February 13, 2024 - Present
CETERA WEALTH SERVICES, LLCCurrent·CRD# 13572
BD
1615 Edgewater Drive Suite 150, Orlando, FL 32804
October 27, 2023 - Present

Similar Advisors

ML
Martha Elizabeth Linsley

MORGAN STANLEY & CO. LLC

NEW YORK, NY · CRD#
Devlin William Carothers
Devlin William Carothers

AMERIPRISE FINANCIAL SERVICES, LLC

VANCOUVER, WA · CRD#
DF
Daniel Eugene Fisher SR

AMERIPRISE FINANCIAL SERVICES, LLC

MINNEAPOLIS, MN · CRD#
Elizabeth Katz Miller
Elizabeth Katz Miller

SUMMIT PLACE FINANCIAL ADVISORS, LLC

SUMMIT, NJ · CRD#

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

Similar Advisors

ML
Martha Elizabeth Linsley

MORGAN STANLEY & CO. LLC

NEW YORK, NY · CRD#
Devlin William Carothers
Devlin William Carothers

AMERIPRISE FINANCIAL SERVICES, LLC

VANCOUVER, WA · CRD#
DF
Daniel Eugene Fisher SR

AMERIPRISE FINANCIAL SERVICES, LLC

MINNEAPOLIS, MN · CRD#
Elizabeth Katz Miller
Elizabeth Katz Miller

SUMMIT PLACE FINANCIAL ADVISORS, LLC

SUMMIT, NJ · CRD#

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: THE CONTINUING EDUCATION ACADEMY INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: PROVIDE STATE APPROVED CONTINUING EDUCATION, LICENSING CLASSES FOR CONTRACTORS. START DATE: 11/2023 POSITION/TITLE/RELATIONSHIP: PARTICIPANT APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: PARTICIPANT 2. NAME OF OTHER BUSINESS: OMNI RESOURCE GROUP INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: PROVIDE BUSINESS MANAGEMENT CONSULTING SERVICES. START DATE: 11/2023 POSITION/TITLE/RELATIONSHIP: CONSULTANT APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: 5 BRIEF DESCRIPTION OF DUTIES: CONSULTANT 3. NAME OF OTHER BUSINESS: OMNI FINANCIAL SERVICES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 11/2023 POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 28 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES; 4. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: NO, ADDRESS: 3922 Baja Drive, St. Cloud, FL 34772, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 05/2025 APX NUMBER OF HOURS PER WEEK: 10, APX NUMBER OF HOURS DURING TRADING HOURS: 2, POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT, BRIEF DESCRIPTION OF DUTIES: SALES OF PROPERTY & CASUALTY;

Similar Advisors

ML
Martha Elizabeth Linsley

MORGAN STANLEY & CO. LLC

NEW YORK, NY · CRD#
Devlin William Carothers
Devlin William Carothers

AMERIPRISE FINANCIAL SERVICES, LLC

VANCOUVER, WA · CRD#
DF
Daniel Eugene Fisher SR

AMERIPRISE FINANCIAL SERVICES, LLC

MINNEAPOLIS, MN · CRD#
Elizabeth Katz Miller
Elizabeth Katz Miller

SUMMIT PLACE FINANCIAL ADVISORS, LLC

SUMMIT, NJ · CRD#

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
Florida
(1/19/2024)
IAR
Florida
(2/13/2024)

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 Feb 2024About the Series 66 exam

Series 7TO — General Securities Representative Examination

Passed Oct 2023About the Series 7TO exam

SIE — Securities Industry Essentials Examination

Passed Jul 2023About the SIE exam
FINRA
SRO Registrations

Similar Advisors

ML
Martha Elizabeth Linsley

MORGAN STANLEY & CO. LLC

NEW YORK, NY · CRD#
Devlin William Carothers
Devlin William Carothers

AMERIPRISE FINANCIAL SERVICES, LLC

VANCOUVER, WA · CRD#
DF
Daniel Eugene Fisher SR

AMERIPRISE FINANCIAL SERVICES, LLC

MINNEAPOLIS, MN · CRD#
Elizabeth Katz Miller
Elizabeth Katz Miller

SUMMIT PLACE FINANCIAL ADVISORS, LLC

SUMMIT, NJ · CRD#

CRS (Client Relationship Summary) - RIA

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

CRS (Customer Relationship Summary)

Similar Advisors

ML
Martha Elizabeth Linsley

MORGAN STANLEY & CO. LLC

NEW YORK, NY · CRD#
Devlin William Carothers
Devlin William Carothers

AMERIPRISE FINANCIAL SERVICES, LLC

VANCOUVER, WA · CRD#
DF
Daniel Eugene Fisher SR

AMERIPRISE FINANCIAL SERVICES, LLC

MINNEAPOLIS, MN · CRD#
Elizabeth Katz Miller
Elizabeth Katz Miller

SUMMIT PLACE FINANCIAL ADVISORS, LLC

SUMMIT, NJ · CRD#