JH
James D. Haney
CETERA INVESTMENT ADVISERS LLC
OKLAHOMA CITY, OK 73134
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CRD#: 1884633
JH
Professional summary
James Douglas Haney, who also goes by Doug Kaney, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Oklahoma City, Oklahoma and CETERA WEALTH SERVICES, LLC located in Oklahoma City, Oklahoma.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. James has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Doug Kaney
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) SDD Investments LLC 214 W 12th St Ada OK 74820 Oil/Gas Exploration Partner/General Partner 9/14/2016 4hrs~0hrs Accounting and managing member. 2) Muddy Boggy Group LLC 214 W 12th Ada OK 74820 Product Sales/Marketing/Leasing Misc. Partner/General Partner 9/14/2016 1hrs~4hrs Do accounting work and I am an LLC member. 3) Griffin & Haney, Inc. CPAs 214 W 12 Ada OK 74820 Tax Preparation/Accounting President 7/1/2002 180hrs~145hrs owner and manager, prepare tax returns. 4) Cornerstone Equities Charitable Trust 101 E Main St Ada OK 74820 Board Position/Officer Other 11/29/2017 1hrs~1hrs One of the advisory board members to help decide where annual funds will be distributed to local charities.
CRS (Client Relationship Summary) - RIA
Click below to view James Douglas Haney'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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 13900 N Portland Suite 101, Oklahoma City, OK 73134RIA
CRD#: 105644
OKLAHOMA CITY, OK
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
Oklahoma City, OK
Past
January 17, 1990 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Oklahoma City, OK
Past
October 19, 1988 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Oklahoma City, OK
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
Ohio(9/5/2025)
RR
Oklahoma(9/5/2025)
IAR
Oklahoma(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
