DF
Dana D. Funk
CETERA INVESTMENT ADVISERS LLC
CHICO, CA 95973
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CRD#: 846751
DF
Professional summary
Dana Duane Funk is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Chico, California and CETERA ADVISORS LLC located in Chico, California.
Dana is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1977. Dana has worked at 5 firms and has passed the Series 63, Series 65, Series 6TO, SIE and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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: 06/14/2016;
APX NUMBER OF HOURS PER WEEK: 14 HOUR;
APX NUMBER OF HOURS DURING TRADING HOURS: VARIES;
POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT
BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES, LONG TERM CARE, MEDICARE SUPPLEMENTS AND DRUG PLANS.
2. NAME OF OTHER BUSINESS: DBA DANA FUNK FINANCIAL SERVICES;
INVESTMENT RELATED: YES;
ADDRESS: SAME AS REGISTERED;
NATURE OF BUSINESS: FINANCIAL SERVICES;
START DATE: 04/01/1992;
POSITION/TITLE/RELATIONSHIP: OWNER;
APX NUMBER OF HOURS PER WEEK: 20 HOURS;
APX NUMBER OF HOURS DURING TRADING HOURS: VARIES;
BRIEF DESCRIPTION OF DUTIES: DBA FOR FIXED INSURANCE SALES & SERVICE.
CRS (Client Relationship Summary) - RIA
Click below to view Dana Duane Funk'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
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 55 Independence Cir Ste 110, Chico, CA 95973RIA
CRD#: 105644
CHICO, CA
Current
October 3, 2016 - Present
CETERA ADVISORS LLC
Office #1: 55 Independence Cir Ste 110, Chico, CA 95973BD
CRD#: 10299
Chico, CA
Past
October 3, 2016 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
June 16, 2005 - October 3, 2016
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
CHICO, CA
Past
December 18, 2002 - June 16, 2005
EASTERN POINT ADVISORS INC.
RIA
CRD#: 107123
CHICO, CA
Past
January 3, 1997 - October 3, 2016
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
CHICO, CA
Past
December 21, 1977 - February 25, 1997
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
BD
CRD#: 611
OMAHA, NE
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
Arkansas(1/27/2023)
RR
California(10/3/2016)
IAR
California(3/21/2024)
RR
Colorado(10/3/2016)
RR
Michigan(10/3/2016)
RR
Minnesota(10/3/2016)
RR
Nevada(4/21/2020)
RR
North Carolina(10/3/2016)
RR
Oregon(5/4/2021)
RR
Texas(9/17/2025)
IAR
Texas(9/17/2025)
RR
Virginia(5/24/2021)
RR
Washington(4/13/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 12/9/1977
Registered Representative ExaminationSRO 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
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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.
