Ann M. Doty-mitchell
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.
Ann Marie Doty-mitchell, who also goes by Ann Marie Doty, was a registered financial professional .
Ann is a previously registered financial professional and started their career in finance in 1984. Ann had worked at 20 firms and has passed the Series 66, Series 65, Series 63, Series 52TO, SIE, Series 3, Series 55, Series 7, Series 10, Series 9, Series 12, Series 53, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 29, 2023 - December 5, 2025
CETERA INVESTMENT ADVISERS LLC
February 9, 2016 - November 9, 2016
VSR FINANCIAL SERVICES, INC.
February 9, 2016 - December 14, 2016
LEGEND EQUITIES CORPORATION
February 9, 2016 - November 1, 2017
GIRARD SECURITIES, INC.
February 9, 2016 - December 3, 2019
SUMMIT BROKERAGE SERVICES, INC.
February 9, 2016 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
December 21, 2015 - November 9, 2016
INVESTORS CAPITAL CORP.
June 10, 2013 - December 5, 2025
CETERA INVESTMENT SERVICES LLC
June 10, 2013 - December 5, 2025
CETERA FINANCIAL SPECIALISTS LLC
June 10, 2013 - December 5, 2025
CETERA ADVISORS LLC
June 7, 2013 - June 29, 2023
CETERA WEALTH SERVICES, LLC
June 7, 2013 - December 5, 2025
CETERA WEALTH SERVICES, LLC
July 13, 2011 - July 24, 2012
CROWELL, WEEDON & CO.
July 13, 2011 - July 24, 2012
CROWELL, WEEDON & CO.
January 14, 2010 - February 3, 2011
RBC CAPITAL MARKETS, LLC
January 13, 2010 - February 3, 2011
RBC CAPITAL MARKETS, LLC
January 1, 2008 - January 6, 2010
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - January 6, 2010
WELLS FARGO CLEARING SERVICES, LLC
October 3, 2002 - January 1, 2008
A. G. EDWARDS & SONS, INC.
October 3, 2002 - January 3, 2008
A. G. EDWARDS & SONS, INC.
June 14, 2000 - August 15, 2001
GRUNTAL & CO., L.L.C.
February 24, 1999 - June 9, 2000
WELLS FARGO SECURITIES INC.
August 29, 1988 - June 25, 1998
CIBC WORLD MARKETS CORP.
December 1, 1987 - July 23, 1988
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
September 11, 1987 - October 27, 1987
C. M. BLAIR, W. O. FOSTER & CO., INC.
April 18, 1984 - August 20, 1987
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 55
Date: 8/14/2000
Limited Representative-Equity Trader ExamSeries 12
Date: 5/17/2000
NYSE Branch Manager ExaminationCurrent Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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 |
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.
