Michael F. Doumani
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.
Michael Francis Doumani was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1986. Michael had worked at 13 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 21, 2024 - November 4, 2024
CETERA INVESTMENT ADVISERS LLC
May 15, 2019 - March 21, 2024
CETERA ADVISORS LLC
May 15, 2019 - November 4, 2024
CETERA ADVISORS LLC
April 1, 2014 - May 14, 2019
CETERA ADVISORS LLC
March 31, 2014 - May 14, 2019
CETERA ADVISORS LLC
March 13, 2012 - June 14, 2013
SORRENTO PACIFIC FINANCIAL, LLC
March 12, 2012 - June 14, 2013
SORRENTO PACIFIC FINANCIAL, LLC
June 4, 2010 - January 31, 2012
CETERA INVESTMENT SERVICES LLC
May 26, 2010 - January 31, 2012
CETERA INVESTMENT SERVICES LLC
September 4, 2008 - March 31, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 4, 2008 - March 31, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 5, 2007 - September 9, 2008
COUNTRYWIDE INVESTMENT SERVICES, INC.
March 1, 2006 - September 9, 2008
COUNTRYWIDE INVESTMENT SERVICES, INC.
July 8, 2004 - February 23, 2006
CITICORP INVESTMENT SERVICES
July 8, 2004 - February 23, 2006
CITICORP INVESTMENT SERVICES
August 13, 2003 - July 21, 2004
SII INVESTMENTS, INC.
January 24, 2002 - July 21, 2004
SII INVESTMENTS, INC.
December 15, 2000 - January 7, 2002
MML INVESTORS SERVICES, LLC
December 8, 1997 - December 11, 2000
SII INVESTMENTS, INC.
January 24, 1996 - November 18, 1997
CAL FED INVESTMENTS
March 23, 1992 - February 8, 1996
IFMG SECURITIES, INC.
February 14, 1990 - November 29, 1991
FEDERATION FOR FINANCIAL INDEPENDENCE
April 30, 1986 - January 16, 1990
HORNOR, TOWNSEND & KENT, LLC
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
Current 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 | ||
| 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.
