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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

DANIEL LEE SHEPHERD

Advisor at CETERA INVESTMENT ADVISERS LLC

DALLAS, TX

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Search this name across graphsid dfx:ria:422057df-848b-1850-8363-e71db8f537db

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jun 5, 2013 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CETERA INVESTMENT ADVISERS LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 26, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Jun 26, 2007
First registration: Jun 5, 2013
Dual registered: yes, broker-dealer
Other names: Daniel Lee Shepherd|Daniel L Shepherd
IAPD individual key: 5201047

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Jun 10, 2026	n/a	yes	DALLAS, TX	Current employment
CHARLES SCHWAB & CO., INC.	National bd RIA	Jul 29, 2016	Sep 1, 2020	no	Westlake, TX\|Fort Worth, TX\|Westlake, TX	Previous registration
ALLSTATE FINANCIAL ADVISORS, LLC	Bd affiliated wealth	Nov 5, 2015	Jul 7, 2016	no	Hurst, TX	Previous registration
USAA FINANCIAL PLANNING SERVICES	Former SEC adviser	Oct 23, 2013	Aug 4, 2015	no	ADDISON, TX	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Jun 5, 2013	Oct 14, 2013	no	FORT WORTH, TX	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Jun 5, 2013	Oct 14, 2013	no	FORT WORTH, TX\|Westlake, TX\|FORT WORTH, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CHARLES SCHWAB & CO., INC.	CETERA INVESTMENT ADVISERS LLC	Sep 1, 2020	Jun 10, 2026	2,108	Firm change after gap	Ibd to ibd
ALLSTATE FINANCIAL ADVISORS, LLC	CHARLES SCHWAB & CO., INC.	Jul 7, 2016	Jul 29, 2016	22	Firm change	Other
USAA FINANCIAL PLANNING SERVICES	ALLSTATE FINANCIAL ADVISORS, LLC	Aug 4, 2015	Nov 5, 2015	93	Firm change	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	USAA FINANCIAL PLANNING SERVICES	Oct 14, 2013	Oct 23, 2013	9	Firm change	Other
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Oct 14, 2013	Jun 5, 2013	-131	Channel change	Other

Relationships

Registered with (6)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Jun 10, 2026 to presentfactForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Jul 29, 2016 to Sep 1, 2020factForm ADV
→ ALLSTATE FINANCIAL ADVISORS, LLCRegistered adviserregistration: previous registration
Nov 5, 2015 to Jul 7, 2016factForm ADV
→ USAA FINANCIAL PLANNING SERVICESRegistered adviserregistration: previous registration
Oct 23, 2013 to Aug 4, 2015factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jun 5, 2013 to Oct 14, 2013factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Jun 5, 2013 to Oct 14, 2013factForm ADV

Dated events

No dated event names this entity yet.