Daniel A. St Pierre
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 Albert St Pierre, who also goes by Daniel A Stpierre, Daniel Albert Stpierre, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1975. Daniel had worked at 26 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 10, 2014 - December 21, 2015
CETERA ADVISORS LLC
April 9, 2014 - December 21, 2015
CETERA ADVISORS LLC
July 15, 2013 - December 10, 2013
CABOT LODGE SECURITIES LLC
July 6, 2011 - December 11, 2013
CL WEALTH MANAGEMENT LLC
February 24, 2011 - August 16, 2013
ALLIED BEACON PARTNERS, INC.
December 7, 2010 - December 20, 2010
PRINCIPAL SECURITIES, INC.
October 20, 2009 - December 20, 2010
PRINCIPAL SECURITIES, INC.
April 25, 2008 - October 5, 2009
PRINCIPAL SECURITIES, INC.
August 17, 2006 - March 14, 2008
SAXONY SECURITIES, INC.
February 19, 2004 - September 12, 2006
MERRIMAC CORPORATE SECURITIES, INC.
January 16, 2004 - November 5, 2004
ALLEN DOUGLAS SECURITIES, INC.
June 17, 2003 - February 12, 2004
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
February 4, 2003 - July 22, 2003
PARK FINANCIAL GROUP, INC.
October 3, 2002 - January 6, 2003
METROPOLITAN LIFE INSURANCE COMPANY
October 3, 2002 - January 6, 2003
MSI FINANCIAL SERVICES, INC.
May 14, 2002 - September 20, 2002
CUMBERLAND BROKERAGE CORPORATION
February 12, 1991 - September 30, 1991
THE ADVISORS GROUP, INC.
June 8, 1989 - February 27, 1991
MARQUETTE FINANCIAL GROUP, INC.
March 7, 1989 - May 19, 1989
JOSEPHTHAL & CO., INC.
March 30, 1988 - February 16, 1989
SECURITIES SERVICE NETWORK, LLC
September 9, 1987 - November 16, 1987
INVESTACORP, INC.
October 7, 1985 - August 4, 1987
INTEGRATED RESOURCES EQUITY CORPORATION
April 3, 1985 - October 21, 1985
INVESTACORP, INC.
February 12, 1981 - April 29, 1985
MORGAN STANLEY DW INC.
June 17, 1980 - March 10, 1981
UBS FINANCIAL SERVICES INC.
January 11, 1980 - June 12, 1980
A. G. EDWARDS & SONS, INC.
June 10, 1977 - December 27, 1979
EDWARD JONES
September 17, 1975 - July 25, 1977
AMERICAN EXPRESS FINANCIAL CORPORATION
September 17, 1975 - July 25, 1977
AMERIPRISE FINANCIAL SERVICES, LLC
September 17, 1975 - July 25, 1977
IDS LIFE INSURANCE COMPANY
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 1
Date: 9/10/1975
Registered Representative ExaminationCurrent Firm
CETERA ADVISORS LLC
CRD#: 10299 / SEC#: 801-33020, 8-26892
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| ARNOLD, SUMMER SELTZER | VICE PRESIDENT | 2954103 |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| DEL VALLE, ELISA ANNE-MARIE | VICE PRESIDENT | 4807911 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HALLORAN, THOMAS WILLIAM | CHIEF EXECUTIVE OFFICER, PRESIDENT AND MANAGER | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CHIEF COMPLIANCE OFFICER | 5059176 |
| MERRILL, GARRETT JAMES | VICE PRESIDENT | 4306692 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| VOGEL, RICHARD CHARLES | VICE PRESIDENT | 4024999 |
Regulatory assets under management
| Total Number of Accounts | 81,652 |
| AUM (Assets Under Management) | $ 21,989,347,265 |
Disclosures
| Regulatory Event | 14 |
| Civil Event | 1 |
| Arbitration | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 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.
