Donald K. Mitcham
CETERA INVESTMENT ADVISERS LLC
SPRING, TX 77379
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CRD#: 1310467
Professional summary
Donald Keith Mitcham, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Spring, Texas and CETERA WEALTH SERVICES, LLC located in Spring, Texas.
Donald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Donald has worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6 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) (dba) STRATEGIC FINANCIAL ADVISORS; Investment Related; 21025 Spring Brook Plaza Drive, Spring, TX 77379; Financial Planning Consultant Services; Financial Planner; Start Date 10/1983; 7 hours per month with no hours per month during trading hours; Financial Planning and insurance services/products. >> 2) MITCHAM ADVISORS, LLC; Investment Related; 21025 Spring Brook Plaza Drive, Spring, TX 77379; Financial Planning; President; Start Date 03/2018; 80 hours per month with 30 hours per month occurring during trading hours; I make leadership and strategic planning decisions; manage operations; oversee budget development, implementation and control; manage relationship with broker/dealer; manage business activities seeking revenue growth; negotiate contracts with vendors; coordinate business tax filings; and conduct member meetings. >> 3) DONALD KEITH MITCHAM; Investment Related; 21025 Spring Brook Plaza Drive, Spring, TX 77379; Insurance; Owner; Start Date 01/1984; 1 hour per month with no hours during trading hours; Sales and service of insurance products. >> 4) ARROW REAL ESTATE CAPITAL LLC; Investment Related; 21025 Spring Brook Plaza Drive, Spring, TX 77379; Real Estate; Trustee; Start Date 10/2023; 5 hours per month with no hours per month occurring during trading hours; LLC created to acquire building for Strategic Financial Advisors to office out of. 5) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: .50; APX NUMBER OF HOURS PER WEEK: .25; APX NUMBER OF HOURS DURING TRADING HOURS: xx; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 6) NAME OF OTHER BUSINESS: LIAM HOLDINGS, LLC; INVESTMENT RELATED: NO; ADDRESS: 429 ASPEN DR SOUTH FORK, CO 81154; NATURE OF BUSINESS: REAL ESTATE HOLDING CO; START DATE: 09/2021; POSITION/TITLE/RELATIONSHIP: MEMBER; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: HOLDING COMPANY FOR SECONDARY HOME; 7) NAME OF OTHER BUSINESS: DONALD KEITH MITCHAM; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: INSURANCE SERVICES; START DATE: 06/1984; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: .50; APX NUMBER OF HOURS DURING TRADING HOURS: .25; BRIEF DESCRIPTION OF DUTIES: INSURANCE SALES AND SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Donald Keith Mitcham'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®
CFP®
Start date: 1988
Experience
Current
February 20, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 21025 Spring Brook Plaza Drive, Spring, TX 77379RIA
CRD#: 105644
SPRING, TX
Current
February 20, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 21025 Spring Brook Plaza Drive, Spring, TX 77379BD
CRD#: 13572
Spring, TX
Past
January 4, 1997 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
Spring, TX
Past
January 4, 1997 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
Spring, TX
Past
October 21, 1994 - December 31, 1996
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
September 28, 1994 - October 27, 1994
SUNPOINT SECURITIES, INC.
BD
CRD#: 25442
LONGVIEW, TX
Past
March 6, 1990 - October 3, 1994
MURCHISON INVESTMENT BANKERS, INC.
BD
CRD#: 20027
Past
October 25, 1986 - March 13, 1990
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
EL SEGUNDO, CA
Past
February 14, 1985 - October 30, 1986
WS GRIFFITH SECURITIES, INC.
BD
CRD#: 10410
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
Colorado(8/6/2025)
RR
Florida(8/6/2025)
RR
Nevada(2/20/2025)
RR
New Jersey(2/20/2025)
RR
Pennsylvania(8/6/2025)
RR
Texas(2/20/2025)
IAR
Texas(2/20/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Spring, TX 77379TRUST BUT VERIFY
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