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Dan provides important compliance support and oversight to ensure the office operates in a manner that is consistent with state, federal and self-regulatory organization rules and regulations. Beyond his compliance responsibilities, Dan also assists the lead financial advisors and clients in a variety of ways.
His support of the office helps everything run seamlessly. His additional office duties include entering security transactions, processing money movements, ensuring fees are accurate and timely, helping with new account setup and client inquiries.
Dan is a financial services industry veteran, with more than 20 years under his belt. He’s held an impressive list of financial services compliance and auditing positions throughout his career and holds FINRA Series 4, 7, 8, 24, 53, 55, 63 and 65 registrations.
An avid outdoorsman, Dan enjoys fishing, hunting, hiking, snowshoeing, and spending time with his daughters and Jasper, his loyal Labrador Retriever. He hopes to someday take a vacation to a tropical island in the South Pacific.
Dan’s impressive experience and work ethic make him a valuable member of the team. His client-first approach to tasks is appreciated and helps provide clients with a notably good experience.
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Dan Kearney is a non-producing registered representative of Cetera Advisor Networks LLC.