Dan Lyndall Griggs

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

• 09/2000 → Present
  Austin Coordinated Resources, Inc.
  Austin, TX
• 04/2011 → 09/2019
  Summit Brokerage Services
  Panama City Beach, FL
• 04/2011 → 05/2021
  Summit Financial Group
  Panama City Beach, FL
• 09/2019 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 03/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2011-04-21 → 2021-05-20
  Summit Financial Group Inc
  Round Rock, TX
  Panama City Beach, FL
• 2001-05-02 → 2011-04-28
  Securities America Advisors, Inc.
  Austin, TX

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: 01/2000; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: OCCASIONAL SALES OF FIXED LIFE INSURANCE; 2. NAME OF OTHER BUSINESS: AUSTIN COORDINATED RESOURCES INC. INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES / TAX ENTITY; START DATE: 09/2000; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: FINANCIAL SERVICES;

Exams

• S63 Uniform Securities Agent State Law Examination
  1996-04-02

Other Names

• Dan Lyndall Griggs