Donald M. Konrath

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CRD#: 1002812

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Donald Michael Konrath was a registered financial professional .

Donald is a previously registered financial professional and started their career in finance in 1981. Donald had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 21, 2014 - January 8, 2024

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

ST CLOUD, MN

Past

January 20, 1999 - January 21, 2014

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

ST CLOUD, MN

Past

January 20, 1999 - January 8, 2024

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

ST CLOUD, MN

Past

May 27, 1998 - December 9, 1998

RYAN & COMPANY, LP

CRD#: 21669

WEST CONSHOHOCKEN, PA

Past

March 24, 1997 - February 6, 1998

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

November 3, 1992 - March 14, 1995

FIMCO SECURITIES GROUP, INC.

CRD#: 30343

PORT WASHINGTON, WI

Past

July 24, 1991 - October 20, 1992

AEGON USA SECURITIES INC.

CRD#: 13302

CEDAR RAPIDS, IA

Past

December 23, 1988 - January 20, 1990

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

June 5, 1987 - November 26, 1988

CAPITAL FINANCIAL SERVICES, INC.

CRD#: 8408

Past

August 23, 1983 - May 29, 1987

OSAIC FS, INC.

CRD#: 3870

Past

August 12, 1981 - May 5, 1983

OSAIC FS, INC.

CRD#: 3870

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/15/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/2/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/21/1989

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/7/1981

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/2/2023

General Securities Principal Examination

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Donald M. Konrath

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

RYAN & COMPANY, LP

VOYA FINANCIAL ADVISORS, INC.

FIMCO SECURITIES GROUP, INC.

AEGON USA SECURITIES INC.

INVEST FINANCIAL CORPORATION

CAPITAL FINANCIAL SERVICES, INC.

OSAIC FS, INC.

OSAIC FS, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/15/2011

Series 63

Date: 9/2/1981

SIE

Date: 10/1/2018

Series 7

Date: 10/21/1989

Series 6

Date: 8/7/1981

Series 24

Date: 1/2/2023

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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