Daniel Haines, financial advisor Raleigh NC
74 score

Daniel Haines

CRD Number: 1098367
Current Firm: Cetera Investment Advisers LLC

Daniel Haines (CRD# 1098367) is an Investment Advisor Representative working at Cetera Investment Advisers LLC in Raleigh, NC and has over 34 years of experience in the finance industry. Daniel Haines has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Cetera Investment Advisers Raleigh, NC Mar 2017 - Current 1
Cetera Investment Serivces LLC St. Cloud, MN Mar 2017 - Current 1
First National Bank Of Pa Raleigh, NC Mar 2017 - Current 1
Securities America Inc. Raleigh, NC Feb 2015 - Mar 2017 2
Securities America Advisors Raleigh, NC Feb 2015 - Mar 2017 2
Metlife Securities Inc. Shelton, CT Mar 2008 - Feb 2015 6
Advisorsone Wealth Management Group LLC Newtown, CT Jan 2005 - Mar 2008 3
Nutmeg Securities, Ltd Fairfield, CT Feb 2001 - Mar 2008 7
Advisorsone, LLC Danbury, CT Apr 2000 - Mar 2008 7
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Sep 1983
S66 NASAA Uniform Combined State Law Examination Apr 2014
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Financial Issue
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Daniel F. Haines
Phone Number: 888-528-2987
Registered State(s):
  • NC
By the Numbers
  • Total Assets Under Management
    7,816
    MILLIONS
  • Total Number of Accounts
    41,288
    ACCOUNTS
  • Average Account Value
    $189,310
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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BADGES
74

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