Dallas, TX 5420 Lbj Freeway Office
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Cetera
Institution
Firm-wide stats for Cetera
About
Cetera Investment Advisers LLC is an SEC‑registered adviser that distributes its services through a large nationwide network of independent advisors and serves individuals (both non‑HNW and high‑net‑worth), employer‑sponsored retirement plans, corporate and charitable clients, and institutional accounts. Its offerings include discretionary and non‑discretionary portfolio management, financial planning and consulting, ERISA 3(21) and 3(38) retirement services, wrap and non‑wrap program platforms, and access to third‑party money managers.
The firm operates as a multi‑manager platform in which advisors may implement model portfolios provided by an affiliated manager (CIM), select unaffiliated third‑party managers, or construct bespoke strategies; program options range from automated InvestPath allocations to direct indexing, private client overlays, and unified managed accounts. Accounts are run under a mix of discretionary and non‑discretionary authorities and across multiple program structures and custodial relationships, with ongoing supervision and annual client reviews described in the ADV.
Notable features include scale — the ADV reports over $256 billion in assets under management, more than 10,000 advisors and roughly 800,000 clients — and a suite of affiliations (an affiliated trust company, affiliated model provider, strategic fund and ETP partner arrangements, and cash‑sweep programs) that shape product availability and revenue flows. The ADV also discloses recent regulatory settlements with the SEC (described in 2021, 2022 and 2024) and identifies an affiliation with a municipal advisor, both of which prospective clients should review alongside the brochure’s descriptions of revenue‑sharing, sweep arrangements and other program‑level conflicts of interest.
Based on Cetera
Expertise
Based on Cetera
Location
5420 Lbj Freeway Ste 1940
Dallas TX 75240
Advisors at this office
4
Advisors at this office
David S
ChFC®, Series 63
Dallas, TX
Cetera
David Stewart is a financial advisor with Cetera in Dallas, TX, holding the ChFC® designation and Series 63 license, and has 30 years of industry experience. His career includes roles at Cetera Wealth Services, Summit Financial Group, Allstate Insurance, and State Farm. Outside of advising, he serves on the board of the nonprofit Cars for Kids and is an elected board member of the Deadwood Hunting Club. Cetera Investment Advisers LLC is an SEC-registered adviser serving individuals, retirement plans, corporate, charitable, and institutional clients through a nationwide network of independent advisors. The firm offers a range of portfolio management, financial planning, and retirement services across multiple program platforms and custodial relationships.
Jeffrey W
Series 66
Dallas, TX
Cetera
Jeffrey Waller is a financial advisor with Cetera, holding a Series 66 designation and eight years of industry experience. His prior experience includes roles at Edward Jones, Allstate Insurance Company, Voya Financial Partners, and Epic Insurance Group. Outside of his advisory work, he owns a business providing credit card services to small local businesses. Cetera Investment Advisers LLC serves a broad client base, including individuals, retirement plans, corporate, charitable, and institutional accounts. The firm offers a range of portfolio management and financial planning services through a nationwide network of independent advisors and employs a multi-manager platform with both discretionary and non-discretionary program options.
Dale Y
Series 63, Series 65
Dallas, TX
Cetera
Dale Young is a financial advisor with Cetera, holding Series 63 and Series 65 credentials and bringing 48 years of industry experience. He has worked with firms including Summit Capital Ventures, Inc. and Cetera Wealth Services, LLC. Outside of his advisory role, he serves on the boards of several nonprofit organizations, including Methodist Health Systems and regional business councils. Cetera Investment Advisers LLC is an SEC-registered firm serving a diverse client base ranging from individual investors to institutional accounts. The firm offers a multi-manager platform with discretionary and non-discretionary portfolio management, financial planning, and access to third-party money managers.
Dan S
Series 66
Dallas, TX
Cetera
Dan Seeds Jr. is a financial advisor with Cetera based in Dallas, TX, holding a Series 66 license and bringing 18 years of industry experience. His prior roles include positions at Northwestern Mutual and BOK Financial Securities. Outside of his financial services career, he coaches a club volleyball team. Cetera Investment Advisers LLC serves a broad client base including individuals, employer-sponsored retirement plans, and institutional accounts, offering discretionary and non-discretionary portfolio management through a multi-manager platform with access to third-party money managers.
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