Dan Umansky is listed as an executive officer on 7 SEC Form D filings by 1 issuer between May 2021 and May 2024: Cetera Advisors LLC /CO (Greenwood Village, CO — investing — 2021–2024; $35.3M reported sold to 117 investors).
What this means One deal on file with the SEC. A Form D is the notice a company files after it starts selling a private investment — it is a notice, not an approval.
The issuer belongs to the sponsor group Cetera (4 issuers, $252M reported sold, 2010–2024).
What this means A sponsor group is one team that sets up a new company for each deal. Cetera has 4 companies on file and $252M reported sold in total — the group page shows the whole track record in one place.
Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AR, AZ, CA, CT, DE, FINRA, GA, HI, ID, LA, ME, MO, MS, MT, NASAA, NC, NH, NM, OR, RI, TX, WA) — 9 court cases matching the name, 1 SEC release, 4 bankruptcy cases matching the name listed in Key records below.
What this means 14 records came back, including 1 court case still open — open cases can take years and cost money. Each one is listed below with a link to the original document and a line saying why it matched. A name match is not proof it is the same person or company — read the why line and the document. Being sued or named in a release is an accusation, not a finding.
We compared 7 public filings for Dan Umansky and found 10 differences, 6 worth asking the sponsor about: Regulator action naming a team member: Cetera Advisors, LLC and Cetera Advisor Networks, LLC (Oct 24, 2022); Regulator action naming a team member: Cetera Advisors, LLC and Cetera Advisor Networks LLC (Oct 15, 2019); and more below.
What this means These are differences between the sponsor's own SEC filings — both values, dates and sources are listed in Key records, section 4. Most have ordinary explanations; ask the sponsor.