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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

DANIEL J RICHARDSON

Advisor at CETERA INVESTMENT ADVISERS LLC

OPELIKA, AL

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Search this name across graphsid dfx:ria:b266cc7b-2919-0301-431d-7efa0ae28cf7

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jun 15, 2009 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: May 7, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: May 7, 2002
First registration: Jun 15, 2009
Dual registered: yes, broker-dealer
Other names: DANIEL J RICHARDSON|DANIEL J RICHARDSON
IAPD individual key: 4491311

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	Sep 6, 2016	n/a	yes	OPELIKA, AL	Current employment
BB&T INVESTMENT SERVICES, INC.	Former SEC adviser	Aug 4, 2015	Sep 2, 2016	no	CHARLOTTE, NC\|HOMEWOOD, AL\|WETUMPKA, AL\|MILLBROOK, AL\|PRATTVILLE, AL\|PRATTVILLE, AL\|MONTGOMERY, AL	Previous registration
BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.	Bd affiliated wealth	Feb 22, 2013	Aug 12, 2015	no	WETUMPKA AL, AL\|Cedar Rapids, IA\|WETUMPKA, AL	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Dec 1, 2009	Jan 8, 2013	no	MONTGOMERY, AL	Previous registration
COLONIAL ASSET MANAGEMENT INC	n/a	Jun 29, 2009	Oct 29, 2009	no	MONTGOMERY, AL\|MONTGOMERY, AL\|MONTGOMERY, AL	Previous registration
FIRST LEGACY SECURITIES, LLC	n/a	Jun 15, 2009	Jun 29, 2009	no	MONTGOMERY, AL\|MONTGOMERY, AL	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
BB&T INVESTMENT SERVICES, INC.	CETERA INVESTMENT ADVISERS LLC	Sep 2, 2016	Sep 6, 2016	4	Firm change	Other
BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.	BB&T INVESTMENT SERVICES, INC.	Aug 12, 2015	Aug 4, 2015	-8	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.	Jan 8, 2013	Feb 22, 2013	45	Firm change	Other
COLONIAL ASSET MANAGEMENT INC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 29, 2009	Dec 1, 2009	33	Firm change	Other
FIRST LEGACY SECURITIES, LLC	COLONIAL ASSET MANAGEMENT INC	Jun 29, 2009	Jun 29, 2009	0	Firm change	Other

Relationships

Registered with (6)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Sep 6, 2016 to presentfactForm ADV
→ BB&T INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Aug 4, 2015 to Sep 2, 2016factForm ADV
→ BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Feb 22, 2013 to Aug 12, 2015factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Dec 1, 2009 to Jan 8, 2013factForm ADV
→ COLONIAL ASSET MANAGEMENT INCRegistered adviserregistration: previous registration
Jun 29, 2009 to Oct 29, 2009factForm ADV
→ FIRST LEGACY SECURITIES, LLCRegistered adviserregistration: previous registration
Jun 15, 2009 to Jun 29, 2009factForm ADV

Dated events

No dated event names this entity yet.