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Daniel J Richardson

Cetera Investment Advisers LLC

Opelika, AL

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Current Employers
Cetera Investment Advisers Llc

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

Current Registrations

AuthorityCategoryStatusDate
AL RA APPROVED 2016-09-06
  • AL RA
    APPROVED
    Since 2016-09-06

Branch Locations

2401 Gateway Dr, Opelika, AL 36801 • 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
OrganizationCityStateFromTo
Bb&T Investment Services, Inc. Wetumpka AL 08/2015 09/2016
Regions Bank Montgomery AL 09/2016 Present
Cetera Investment Services Llc St.CLoud MN 09/2016 Present
Cetera Investment Advisers Llc Montgomery AL 09/2016 Present
  • 08/2015 → 09/2016
    Bb&T Investment Services, Inc.
    Wetumpka, AL
  • 09/2016 → Present
    Regions Bank
    Montgomery, AL
  • 09/2016 → Present
    Cetera Investment Services Llc
    St.CLoud, MN
  • 09/2016 → Present
    Cetera Investment Advisers Llc
    Montgomery, AL
Previous Registrations
  • 2015-08-04 → 2016-09-02
    Bb&T Investment Services, Inc.
    Charlotte, NC
    Homewood, AL
    Wetumpka, AL
    Millbrook, AL
    Prattville, AL
    Prattville, AL
    Montgomery, AL
  • 2013-02-22 → 2015-08-12
    Berthel, Fisher & Company Financial Services, Inc.
    Wetumpka Al, AL
    Cedar Rapids, IA
    Wetumpka, AL
  • 2009-12-01 → 2013-01-08
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Montgomery, AL
  • 2009-06-29 → 2009-10-29
    Colonial Asset Management Inc
    Montgomery, AL
    Montgomery, AL
    Montgomery, AL
  • 2009-06-15 → 2009-06-29
    First Legacy Securities, Llc
    Montgomery, AL
    Montgomery, AL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-01-27
S63 Uniform Securities Agent State Law Examination 2002-05-07
  • S66 Uniform Combined State Law Examination
    2009-01-27
  • S63 Uniform Securities Agent State Law Examination
    2002-05-07
Other Names
  • Daniel J Richardson
  • Daniel J Richardson

View on SEC IAPD

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FRED LANN MIDDLETON
Elizabeth Marguerite Middleton
Martin Keith Branch
RICHARD FRANKLIN HOERLEIN
CATHERINE MARTIN JOHNSTON
Mallory Bailey Stein
JAMES R. HIMMELWRIGHT
John B. Boles

Other Offices

CETERA INVESTMENT ADVISERS LLC · OPELIKA, AL
CETERA INVESTMENT ADVISERS LLC · OPELIKA, AL
AMERIPRISE FINANCIAL SERVICES, LLC · OPELIKA, AL
AVOW WEALTH ADVISORS, LLC · OPELIKA, AL
STATE FARM INVESTMENT MANAGEMENT CORP. · Auburn, AL
VALMARK ADVISERS, INC. · OPELIKA, AL
WELLS FARGO CLEARING SERVICES, LLC · AUBURN, AL
AMERIPRISE FINANCIAL SERVICES, LLC · AUBURN, AL

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