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Daniel W. Derose
CETERA INVESTMENT ADVISERS LLC
HAMILTON, NJ 08690
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CRD#: 847616
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Professional summary
Daniel Wayne Derose is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Hamilton, New Jersey and CETERA WEALTH SERVICES, LLC located in Hamilton, New Jersey.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1978. Daniel has worked at 5 firms and has passed the Series 65, Series 63, Series 6TO, Series 22TO, SIE, Series 7 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.
MARG FIXED INSURANCE POSITION: Owner NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 01/01/2011 ADDRESS: , Hamilton Square NJ , United States DESCRIPTION: Owner MARG FIXED INSURANCE POSITION: Salesperson NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 08/01/1984 ADDRESS: , Wall NJ , United States DESCRIPTION: Salesperson NOTTINGHAM BABE RUTH BASEBALL LEAGUE POSITION: Officer NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2000 ADDRESS: , Hamilton Square NJ , United States DESCRIPTION: Officer AULETTA AGENCY POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2000 ADDRESS: 2910 Princeton Pike, Lawrenceville NJ 08648, United States DESCRIPTION: Sale of Property and casualty products to referrals.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Wayne Derose'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
August 10, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 2279 State Hwy 33 St 512, Hamilton, NJ 08690RIA
CRD#: 105644
HAMILTON, NJ
Current
August 10, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2279 State Highway 33 Suite 512, Hamilton, NJ 08690BD
CRD#: 13572
Hamilton, NJ
Past
June 21, 2002 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
Hamilton, NJ
Past
December 4, 1986 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
Hamilton, NJ
Past
August 22, 1984 - September 15, 1986
IRG SECURITIES, INC.
BD
CRD#: 4182
Past
January 10, 1978 - September 20, 1984
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
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
California(8/10/2023)
RR
Florida(8/11/2023)
RR
Idaho(8/10/2023)
RR
New Jersey(8/10/2023)
IAR
New Jersey(8/10/2023)
RR
New York(8/10/2023)
RR
Pennsylvania(8/10/2023)
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
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 12/23/1977
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
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
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Hamilton, NJ 08690TRUST BUT VERIFY
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