Daniel Heaton

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

• 08/2015 → 10/2019
  Farmers Financial Solutions
  Oklahoma City, OK
• 06/2015 → 10/2019
  Farmers Insurance Group
  Oklahoma City, OK
• 09/2002 → 02/2023
  Medtronic Plc
  Minneapolis, MN
• 03/2019 → 02/2023
  Biotronik
  Lake Oswego, OR
• 11/2019 → Present
  Apex Financial Solutions
  Warr Acres, OK
• 06/2010 → Present
  Ladybug Holding
  Edmond, OK
• 11/2015 → Present
  Heaton Insurance Agency
  Warr Acres, OK
• 01/2020 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 06/2010 → Present
  Ladybug Baits
  Edmond, OK
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

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: 11/2019 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, HEALTH, AND ANNUITIES 2. NAME OF OTHER BUSINESS: LADYBUG BAITS, LLC INVESTMENT RELATED: NO ADDRESS: 16717 RAINWATER TRAIL EDMOND OK NATURE OF BUSINESS: COATINGS START DATE: 06/2010 POSITION/TITLE/RELATIONSHIP: PRESIDENT APX NUMBER OF HOURS PER WEEK: 10 APX NUMBER OF HOURS DURING TRADING HOURS: 10 BRIEF DESCRIPTION OF DUTIES: OWNER AND PRESIDENT 3. NAME OF OTHER BUSINESS: APEX FINANCIAL SOLUTIONS, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVCIES START DATE: 11/2019 POSITION/TITLE/RELATIONSHIP: REPRESENTATIVE APX NUMBER OF HOURS PER WEEK: 25 APX NUMBER OF HOURS DURING TRADING HOURS: 25 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES 4. NAME OF OTHER BUSINESS: LADYBUG HOLDING INVESTMENT RELATED: NO ADDRESS: 16717 RAINWATER TRAIL EDMOND, OK NATURE OF BUSINESS: MINERAL RIGHTS START DATE: 06/2010 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: MINIMAL APX NUMBER OF HOURS DURING TRADING HOURS: MINIMAL BRIEF DESCRIPTION OF DUTIES: OWNER OF LLC FOR MINERAL RIGHTS 5. NAME OF OTHER BUSINESS: HEATON INSURANCE AGENCY, LLC INVESTMENT RELATED: YES ADDRESS: 5560 NW 72ND WARR ACRES OK NATURE OF BUSINESS: INSURANCE START DATE: 11/2015 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: MINIMAL APX NUMBER OF HOURS DURING TRADING HOURS: MINIMAL BRIEF DESCRIPTION OF DUTIES: AGENCY IS NON-OPERATIONAL AND IN PROCESS OF WINDING DOWN 6. NAME OF OTHER BUSINESS: APEX WEALTH MANAGEMENT, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 11/2025, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 7. NAME OF OTHER BUSINESS: VETS REEL RECOVERY; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: NON-PROFIT; START DATE: 4/2026; POSITION/TITLE/RELATIONSHIP: FOUNDER/INCORPORATOR; APX NUMBER OF HOURS PER WEEK: 20; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: NONPROFIT PROVIDING THERAPEUTIC FISHING, ROD-BUILDING/BAIT PRODUCTION TRAINING, SKILL DEVELOPMENT, AND LONG-TERM LAND-BASED SUPPORT FOR VETERAN MENTAL HEALTH AND REINTEGRATION IN THE OKLAHOMA CITY AREA;

Exams

• S66 Uniform Combined State Law Examination
  2022-12-17
• S63 Uniform Securities Agent State Law Examination
  2015-11-15

Other Names

• Daniel Medford Heaton