Douglas G. Marlow

CETERA INVESTMENT ADVISERS LLC

HUNTERSVILLE, NC

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CRD#: 1697807

Professional summary

Douglas Gregg Marlow, AIF®, CFP®, ChFC®, CLU®, who also goes by Douglas Gregg Marlow, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Huntersville, North Carolina and CETERA INVESTMENT SERVICES LLC located in El Segundo, California.

Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Douglas has worked at 22 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

What are your service offerings?

Tax Planning

Estate Planning

Investment Planning

Comprehensive Financial Planni...

Insurance Planning

Retirement Planning

Employee and Employer Plan Ben...

Are you a "fiduciary"?

Yes

Aliases

Douglas Gregg Marlow

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.

INDEPENDENT INSURANCE AGENT; NOT INVESTMENT-RELATED; STARTED 1989; APPROXIMATELY 3 HOURS PER MONTH, 3 HOURS DURING SECURITIES TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Gregg Marlow's CRS (Customer Relationship Summary).

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®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

Start date: 1996

ChFC^®

Chartered Financial Consultant

CLU^®

Chartered Life Underwriter

Experience

Current

September 5, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

HUNTERSVILLE, NC

Current

March 28, 2025 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

CRD#: 15340

El Segundo, CA

Current

March 28, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

CRD#: 13572

El Segundo, CA

Current

March 28, 2025 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

CRD#: 10358

El Segundo, CA

Current

March 28, 2025 - Present

CETERA ADVISORS LLC

Office #1: 2301 Rosecrans Ave Ste #5100, El Segundo, CA 90245

CRD#: 10299

El Segundo, CA

Past

January 16, 2024 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

Past

November 27, 2023 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

HUNTERSVILLE, NC

Past

April 29, 2022 - May 3, 2023

STEPHENS CONSULTING, LLC

RIA

CRD#: 308970

FLINT, MI

Past

August 17, 2021 - April 11, 2022

ALLY INVEST ADVISORS

RIA

CRD#: 170301

CHARLOTTE, NC

Past

July 10, 2019 - March 5, 2020

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

CHARLOTTE, NC

Past

July 1, 2019 - March 4, 2020

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

CHARLOTTE, NC

Past

February 5, 2018 - June 14, 2019

CUSO FINANCIAL SERVICES, L.P.

RIA

CRD#: 42132

Matthews, NC

Past

February 5, 2018 - June 14, 2019

CUSO FINANCIAL SERVICES, L.P.

CRD#: 42132

Matthews, NC

Past

November 7, 2006 - April 12, 2017

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

CHARLOTTE, NC

Past

October 18, 2006 - April 12, 2017

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

CHARLOTTE, NC

Past

February 10, 2005 - January 25, 2006

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

Past

August 23, 2002 - January 24, 2005

BROKER DEALER FINANCIAL SERVICES CORP.

CRD#: 8073

WEST DES MOINES, IA

Past

January 16, 1996 - August 18, 2000

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PHILADELPHIA, PA

Past

May 18, 1991 - January 2, 1996

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

May 18, 1991 - January 2, 1996

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

March 8, 1991 - April 1, 1991

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

February 2, 1990 - March 11, 1991

SUNPOINT SECURITIES, INC.

CRD#: 25442

LONGVIEW, TX

Past

March 15, 1989 - February 13, 1990

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

CRD#: 5774

Past

September 24, 1987 - March 20, 1989

BRAUER & ASSOCIATES, INC.

CRD#: 18278

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Florida
(9/5/2025)

North Carolina
(9/5/2025)

IAR

North Carolina
(9/5/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 2/21/2024

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 11/6/2006

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/19/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/9/2012

General Securities Principal Examination

SRO Registrations

FINRA

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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We're Here To Help

Advisor Monitoring

Firm Stability Insights

Douglas G. Marlow

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Gregg Marlow's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

CETERA WEALTH SERVICES, LLC

CETERA FINANCIAL SPECIALISTS LLC

CETERA ADVISORS LLC

AVANTAX INVESTMENT SERVICES, INC.

AVANTAX ADVISORY SERVICES

STEPHENS CONSULTING, LLC

ALLY INVEST ADVISORS

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY BROKERAGE SERVICES LLC

CUSO FINANCIAL SERVICES, L.P.

CUSO FINANCIAL SERVICES, L.P.

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BROKER DEALER FINANCIAL SERVICES CORP.

TRANSAMERICA FINANCIAL ADVISORS, LLC

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

A. G. EDWARDS & SONS, INC.

SUNPOINT SECURITIES, INC.

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

BRAUER & ASSOCIATES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/21/2024

Series 66

Date: 11/6/2006

SIE

Date: 10/1/2018

Series 7

Date: 9/19/1987

Series 24

Date: 3/9/2012

FINRA

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

Contact information

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