Daniel Edward Henry

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

Authority	Category	Status	Date
OH	RA	APPROVED	2024-03-21

OH RA
APPROVED

Since 2024-03-21

Branch Locations

Youngstown, OH • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Cetera Advisors Llc	Denver	CO	01/2013	Present
Cetera Investment Advisers Llc	Schaumburg	IL	03/2024	Present

01/2013 → Present

Cetera Advisors Llc

Denver, CO
03/2024 → Present

Cetera Investment Advisers Llc

Schaumburg, IL

Previous Registrations

2005-01-24 → 2007-09-24

New England Securities

Youngstown, OH

Westlake, OH

Other Businesses

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: 11/2023, APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT , BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, DISABILITY, FIXED ANNUITIES, LONG-TERM CARE, P & C (HOME, AUTO, COMMERCIAL)

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2002-04-29

S63 Uniform Securities Agent State Law Examination

2002-04-29

View on SEC IAPD