DC
Douglas W. Cole
CETERA INVESTMENT ADVISERS LLC
SCOTTSDALE, AZ 85253
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CRD#: 1037963
DC
Professional summary
Douglas Wilford Cole is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Scottsdale, Arizona and CETERA ADVISORS LLC located in Glendale, Arizona.
Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Douglas has worked at 11 firms and has passed the Series 63, Series 66, Series 65, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1.FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, ADDRESS IS THE REGISTERED LOCATION, START JULY 2014, 2 HOURS PER WEEK - VARIES DURING TRADING HOURS, INSURANCE AGENT - SELLS LIFE & ANNUITIES.
2. NAME OF OTHER BUSINESS: WEST VALLEY COUNSELING CENTER
INVESTMENT RELATED: NO;
ADDRESS: 13260 N 94TH DRIVE SUITE 106, PEORIA, AZ 85381;
NATURE OF BUSINESS: COUPLES COUNSELING;
START DATE: 04/2017;
POSITION/TITLE/RELATIONSHIP: ASSISTANT FACILITATOR;
APX NUMBER OF HOURS PER WEEK: 2;
APX NUMBER OF HOURS DURING TRADING HOURS: 2;
BRIEF DESCRIPTION OF DUTIES: ASSIST FACILITATOR IN PRESENTATIONS AND DISCUSSIONS;
3. NAME OF OTHER BUSINESS: WILDE WEALTH MANAGEMENT;
INVESTMENT RELATED: YES;
ADDRESS: SAME AS REGISTERED LOCATION;
NATURE OF BUSINESS: DBA FOR FINANCIAL SERVICES;
START DATE: 05/2014;
POSITION/TITLE/RELATIONSHIP: ANALYST / ADVISOR;
APX NUMBER OF HOURS PER WEEK: 40;
APX NUMBER OF HOURS DURING TRADING HOURS: 32.5;
BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Douglas Wilford Cole's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 7025 N Scottsdale Rd Ste 115 And 110, Scottsdale, AZ 85253Office #2: 19420 N 59th Ave Bldg C Ste 261, Glendale, AZ 85308Office #3: 950 W Elliot Rd, Suite 126, Tempe, AZ 85284RIA
CRD#: 105644
SCOTTSDALE, AZ
Current
July 31, 2014 - Present
CETERA ADVISORS LLC
Office #1: 19420 N 59th Ave Bldg C Ste 261, Glendale, AZ 85308Office #2: 3200 W Ray Road Suite 101, Chandler, AZ 85226Office #3: 7025 N Scottsdale Rd Ste 115 & 110, Scottsdale, AZ 85253BD
CRD#: 10299
Glendale, AZ
Past
September 23, 2014 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
MESA, AZ
Past
June 2, 2010 - May 14, 2014
WEALTH MANAGEMENT INTERNATIONAL, LTD.
RIA
CRD#: 153146
PEORIA, AZ
Past
June 18, 2009 - September 14, 2010
THE PLANNERS NETWORK, INC.
RIA
CRD#: 108355
PEORIA, AZ
Past
January 2, 2009 - April 26, 2010
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
PHOENIX, AZ
Past
October 31, 2005 - December 31, 2008
OSAIC SERVICES, INC.
BD
CRD#: 133763
PHOENIX, AZ
Past
May 19, 1992 - October 31, 2005
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
December 13, 1989 - May 19, 1992
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
BD
CRD#: 5774
Past
November 19, 1989 - December 15, 1989
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
September 7, 1984 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
June 23, 1982 - September 10, 1984
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(8/28/2014)
IAR
Arizona(3/21/2024)
RR
California(1/3/2020)
RR
Colorado(4/22/2015)
RR
District of Columbia(4/30/2021)
RR
Idaho(9/2/2014)
RR
Indiana(4/1/2024)
IAR
Indiana(4/1/2024)
RR
Maine(6/29/2022)
RR
Maryland(9/23/2025)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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)
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 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
