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DANIEL STEVEN KERTZ
Daniel S Kertz, Daniel Steven Kertz, Daniel Kertz
CRD#: 5963334
IA
Investment Adviser
B
Broker
FIDELITY PERSONAL AND WORKPLACE ADVISORSCRD#: 288590 SAN CARLOS, CA
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 251 UNIVERSITY AVENUE
PALO ALTO, CA 94301
Registration History
201220142016201820202022202420262 FIRMS2011 - 2015 (3 years)2 FIRMS2017 - 2017 (<1 year)2 FIRMS2019 - 2020 (<1 year)4 FIRMS2021 - 2021 (<1 year)2 FIRMS2021 - Present (3 years)BNYLIFE SECURITIES LLC (CRD# 5167)2020 - 2021 (1 year)BMETLIFE SECURITIES INC. (CRD# 14251)2015 - 2016 (<1 year)
License(s)

State Registrations

B
Alabama 11/19/2021

B
Nebraska 11/19/2021

B
Alaska 11/19/2021

B
Nevada 11/19/2021

B
Arizona 11/19/2021

B
New Hampshire 11/19/2021

B
Arkansas 11/19/2021

B
New Jersey 11/19/2021

B
California 11/19/2021

B
New Mexico 11/19/2021

IA
California 12/8/2021

B
New York 11/19/2021

B
Colorado 11/19/2021

B
North Carolina 11/19/2021

B
Connecticut 11/19/2021

B
North Dakota 11/19/2021

B
Delaware 11/19/2021

B
Ohio 11/19/2021

B
District of Columbia 11/19/2021

B
Oklahoma 11/19/2021

B
Florida 11/19/2021

B
Oregon 11/19/2021

B
Georgia 11/19/2021

B
Pennsylvania 11/19/2021

B
Hawaii 11/19/2021

B
Puerto Rico 11/19/2021

B
Idaho 11/19/2021

B
Rhode Island 11/19/2021

B
Illinois 11/19/2021

B
South Carolina 11/19/2021

B
Indiana 11/19/2021

B
South Dakota 11/19/2021

B
Iowa 11/19/2021

B
Tennessee 11/19/2021

B
Kansas 11/19/2021

B
Texas 11/19/2021

B
Kentucky 11/19/2021

IA
Texas 12/12/2021

B
Louisiana 11/19/2021

B
Utah 11/19/2021

B
Maine 11/19/2021

B
Vermont 11/19/2021

B
Maryland 11/19/2021

B
Virgin Islands 11/19/2021

B
Massachusetts 11/19/2021

B
Virginia 11/19/2021

B
Michigan 11/19/2021

B
Washington 11/19/2021

B
Minnesota 11/19/2021

B
West Virginia 11/19/2021

B
Mississippi 11/19/2021

B
Wisconsin 11/19/2021

B
Missouri 11/19/2021

B
Wyoming 11/19/2021

B
Montana 11/19/2021

SRO Registrations

B
FINRA

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590)
SAN CARLOS, CA
49 NORTH 400 WEST, SALT LAKE CITY, UT 84101
Registered with this firm since 12/8/2021

B
FIDELITY BROKERAGE SERVICES LLC (CRD#:7784)
251 UNIVERSITY AVENUE, PALO ALTO, CA 94301
SAN CARLOS, CA
Registered with this firm since 11/19/2021

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
08/17/2021 - 09/01/2021 ALLWORTH FINANCIAL, L.P. (CRD#:111167) SAN CARLOS, CA
B
08/17/2021 - 09/01/2021 AW SECURITIES (CRD#:103747) FOLSOM, CA
IA
04/22/2021 - 06/11/2021 AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363) Palo Alto, CA
B
04/22/2021 - 06/11/2021 AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363) Palo Alto, CA
B
03/30/2020 - 04/20/2021 NYLIFE SECURITIES LLC (CRD#:5167) SAN MATEO, CA
IA
11/14/2019 - 02/29/2020 VERITY ASSET MANAGEMENT (CRD#:158667) PLEASANTON, CA
B
11/14/2019 - 02/29/2020 VERITY INVESTMENTS, INC. (CRD#:41527) DURHAM, NC
IA
09/20/2017 - 12/11/2017 EDWARD JONES (CRD#:250) ST LOUIS, MO
B
09/19/2017 - 12/11/2017 EDWARD JONES (CRD#:250) ST LOUIS, MO
B
11/10/2015 - 01/04/2016 METLIFE SECURITIES INC. (CRD#:14251) FOSTER CITY, CA
IA
11/17/2011 - 08/10/2015 CAPITAL ONE ADVISORS, LLC (CRD#:136865) MCLEAN, VA
B
09/28/2011 - 08/10/2015 CAPITAL ONE INVESTING, LLC (CRD#:45744) SAN FRANCISCO, CA
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B
Broker
IA
Investment Adviser
Disclosures
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