Douglas J. Stefanini

CETERA INVESTMENT ADVISERS

ATLANTA, GA 30338

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CRD#: 1934781

Professional summary

Douglas James Stefanini, who also goes by Douglas James Stefanine, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Atlanta, Georgia and CETERA ADVISORS LLC located in Atlanta, Georgia.

Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Douglas has worked at 14 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Douglas James Stefanine

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas James Stefanini'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®

None

Experience

Current

March 21, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1200 Ashwood Parkway, Ste 185, Atlanta, GA 30338Office #2: 3017 Bolling Way Ne #134, Atlanta, GA 30305

RIA

CRD#: 105644

ATLANTA, GA

Current

September 6, 2023 - Present

CETERA ADVISORS LLC

Office #1: 3017 Bolling Way Ne Floors 1 And 2, Atlanta, GA 30305

CRD#: 10299

Atlanta, GA

Past

September 6, 2023 - March 21, 2024

CETERA ADVISORS LLC

RIA

CRD#: 10299

Atlanta, GA

Past

January 3, 2023 - August 11, 2023

M. S. HOWELLS & CO.

CRD#: 104100

ATLANTA, GA

Past

March 1, 2011 - September 22, 2023

LONGVIEW WEALTH MANAGEMENT

RIA

CRD#: 136214

ATLANTA, GA

Past

March 1, 2011 - December 31, 2022

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

ATLANTA, GA

Past

January 6, 2005 - March 2, 2011

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

ATLANTA, GA

Past

January 3, 2005 - March 2, 2011

SECURITIES AMERICA, INC.

CRD#: 10205

ATLANTA, GA

Past

July 23, 2004 - December 31, 2004

PAULSON INVESTMENT COMPANY LLC

RIA

CRD#: 5670

ATLANTA, GA

Past

December 23, 1994 - December 31, 2004

PAULSON INVESTMENT COMPANY LLC

CRD#: 5670

PORTLAND, OR

Past

January 11, 1993 - December 12, 1994

SCHNEIDER SECURITIES, INC.

CRD#: 16434

DENVER, CO

Past

January 7, 1992 - December 24, 1992

INVESTORS ASSOCIATES, INC.

CRD#: 958

HACKENSACK, NJ

Past

December 18, 1991 - January 10, 1992

ROBERT TODD FINANCIAL CORP.

CRD#: 7423

NEW YORK, NY

Past

August 6, 1991 - December 18, 1991

R.B. WEBSTER INVESTMENTS, INC.

CRD#: 19273

Past

March 12, 1990 - August 9, 1991

PRINCETON FINANCIAL GROUP, INC.

CRD#: 14597

Past

April 19, 1989 - August 10, 1989

BLINDER, ROBINSON & CO., INC.

CRD#: 5096

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

California
(1/2/2025)

Colorado
(9/6/2023)

Florida
(9/6/2023)

Georgia
(9/6/2023)

IAR

Georgia
(3/21/2024)

Illinois
(9/6/2023)

Maryland
(9/6/2023)

New York
(9/6/2023)

North Carolina
(12/19/2025)

South Carolina
(12/19/2025)

Texas
(9/6/2023)

IAR

Texas
(3/21/2024)

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

IAR

Series 66

Date: 7/14/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/28/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/15/1989

General Securities Representative 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

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

xxxxx@xxxx.xxx

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Firm Stability Insights

Douglas J. Stefanini

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas James Stefanini's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA ADVISORS LLC

M. S. HOWELLS & CO.

LONGVIEW WEALTH MANAGEMENT

CAMBRIDGE INVESTMENT RESEARCH, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

PAULSON INVESTMENT COMPANY LLC

PAULSON INVESTMENT COMPANY LLC

SCHNEIDER SECURITIES, INC.

INVESTORS ASSOCIATES, INC.

ROBERT TODD FINANCIAL CORP.

R.B. WEBSTER INVESTMENTS, INC.

PRINCETON FINANCIAL GROUP, INC.

BLINDER, ROBINSON & CO., INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/14/2004

Series 63

Date: 4/28/1989

SIE

Date: 10/1/2018

Series 7

Date: 4/15/1989

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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