Denise Marie Daugherty

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2021 → 10/2021
  Cetera Advisor Networks Llc
  Des Moines, IA
• 06/2021 → 10/2021
  Cetera Investment Services Llc
  St Cloud, MN
• 06/2021 → 10/2021
  Cetera Financial Specialists Llc
  Schaumburg, IL
• 06/2021 → 10/2021
  First Allied Securities Inc
  San Diego, CA
• 11/2021 → 04/2025
  Transamerica Financial Advisors, Inc
  Cedar Rapids, IA
• 10/2021 → 04/2025
  Wfgia
  Cedar Rapids, IA
• 09/2014 → 06/2021
  Voya Financial Advisors
  Des Moines, IA
• 06/2021 → 10/2021
  Cetera Advisors Llc
  Saint Cloud, MN
• 10/2017 → 02/2019
  Kohls
  West Des Moines, IA
• 01/2023 → Present
  Des Moines Rowing Club
  Des Moines, IA
• 05/2025 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 05/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 11/2025 → Present
  Homegoods
  West Des Moines, IA

Previous Registrations

• 2021-11-18 → 2025-05-01
  Transamerica Financial Advisors, Llc
  Johns Creek, GA
  Cedar Rapids, IA
  Earlham, IA
• 2021-06-09 → 2021-10-22
  Cetera Wealth Services, Llc
  El Segundo, CA
  West Des Moines, IA
• 2013-09-12 → 2021-06-09
  Voya Financial Advisors, Inc.
  Windsor, CT
  Windsor, CT
• 2011-04-05 → 2013-09-03
  Integrity Alliance, Llc.
  Panora, IA
  Urbandale, IA
• 2005-05-25 → 2011-04-04
  Voya Financial Advisors, Inc.
  Des Moines, IA
  Windsor, CT
• 2005-02-04 → 2005-05-12
  Principal Securities, Inc.
  Des Moines, IA

Other Businesses

1. NAME OF OTHER BUSINESS: DES MOINES ROWING CLUB; INVESTMENT RELATED: NO; ADDRESS: DES MOINES, IA 50313 NATURE OF BUSINESS: NONPROFIT ROWING CLUB; START DATE: 01/2023; POSITION/TITLE/RELATIONSHIP: BOARD OF DIRECTORS / SAFETY DIRECTOR; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: RESPONSIBLE FOR SAFETY OF ROWERS AND ENSURING CLUB HAS PROPER SAFETY PROCEDURES SET FORTH BY US ROWING; 2. NAME OF OTHER BUSINESS: HOMEGOODS; INVESTMENT RELATED: NO; ADDRESS: 320 SOUTH JORDA CREEK PKWY WEST DES MOINES, IA 50266; NATURE OF BUSINESS: RETAIL STORE; START DATE: 11/2025; POSITION/TITLE/RELATIONSHIP: STORE ASSOCIATE; APX NUMBER OF HOURS PER WEEK: 20; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: SEASONAL EMPLOYMENT FRONT END ASSOCIATE;

Exams

• S66 Uniform Combined State Law Examination
  2004-12-01
• S63 Uniform Securities Agent State Law Examination
  1998-07-20

Other Names

• Denise M Daugherty
• Denise Marie Daugherty
• Denise Marie Vorm
• Denise Marie Vorm