Douglas H. Alexander

CETERA INVESTMENT ADVISERS LLC

Richmond, VA 23236

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CRD#: 2087736

Professional summary

Douglas Haig Alexander, AIF®, who also goes by Doug Alexander, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Richmond, Virginia and CETERA ADVISORS LLC located in Richmond, Virginia.

Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Douglas has worked at 12 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Doug Alexander

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.) ALEXANDER FINANCIAL SERVICES, INC.; AGENT; INSURANCE; START DATE 10/29/2014; 80 HOURS PER MONTH. 2.) ALEXANDER TAX ADVISORY GROUP LLC; MEMBER; NON-CPA ACCOUNTING OR TAX PREP; START DATE 1/1/2015; 80 HOURS PER MONTH. 3.) ALEXANDER FINANCIAL SERVICES; OWNER; DBA; START DATE 12/10/2010 4.) ST. BENEDICT CATHOLIC CHURCH; FINANCE COMMITTEE; NON PROFIT ORGANIZATION; DATE STARTED: 03/17/2017; 8 HOURS PER MONTH. 5.) ALEXANDER FINANCIAL SERVICES, INC.; EDUCATOR/TEACHING; EDUCATOR; START DATE 03/02/2019; 40 HOURS A MONTH. 6.) MANHATTAN RIDGE ADVISORS; ADVISOR; INSURANCE; START DATE: 3/1/2021; 160 HOURS PER MONTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Haig Alexander'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

Experience

Current

November 12, 2020 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 812 Moorefield Park Drive Suite 205, Richmond, VA 23236

RIA

CRD#: 105644

Richmond, VA

Current

September 8, 2022 - Present

CETERA ADVISORS LLC

Office #1: 812 Moorefield Park Drive Suite- 205, Richmond, VA 23236

CRD#: 10299

Richmond, VA

Past

July 2, 2012 - November 12, 2020

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

RICHMOND, VA

Past

November 29, 2010 - July 2, 2012

FIRST ALLIED SECURITIES, INC.

RIA

CRD#: 32444

RICHMOND, VA

Past

November 29, 2010 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

RICHMOND, VA

Past

March 18, 2008 - December 8, 2010

NEXT FINANCIAL GROUP, INC.

RIA

CRD#: 46214

RICHMOND, VA

Past

March 18, 2008 - December 8, 2010

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

RICHMOND, VA

Past

May 4, 2006 - March 20, 2008

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

RICHMOND, VA

Past

May 4, 2006 - March 20, 2008

EQUITABLE ADVISORS, LLC

CRD#: 6627

RICHMOND, VA

Past

January 24, 2005 - May 8, 2006

TOWER SQUARE SECURITIES, INC.

RIA

CRD#: 833

RICHMOND, VA

Past

January 24, 2005 - May 8, 2006

TOWER SQUARE SECURITIES, INC.

CRD#: 833

RICHMOND, VA

Past

January 1, 2001 - January 25, 2005

GROVE POINT INVESTMENTS, LLC

RIA

CRD#: 1763

RICHMOND, VA

Past

August 27, 1999 - January 25, 2005

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

ROCKVILLE, MD

Past

March 12, 1997 - August 18, 1999

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

ST. PAUL, MN

Past

July 28, 1993 - March 7, 1997

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

July 28, 1993 - March 7, 1997

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

October 12, 1992 - October 16, 1992

TAMARON INVESTMENTS, INC.

CRD#: 14929

ENGLEWOOD, CO

Past

September 7, 1990 - October 22, 1990

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

EDISON, NJ

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
(9/8/2022)

Florida
(9/8/2022)

Illinois
(1/19/2024)

Maryland
(9/8/2022)

New Hampshire
(3/21/2024)

New York
(9/8/2022)

North Carolina
(9/8/2022)

IAR

Virginia
(11/12/2020)

Virginia
(9/8/2022)

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 65

Date: 9/25/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/26/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/13/1992

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/5/1990

Investment Company Products/Variable Contracts 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
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.

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Advisor Monitoring

Firm Stability Insights

Douglas H. Alexander

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Haig Alexander's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

FIRST ALLIED SECURITIES, INC.

NEXT FINANCIAL GROUP, INC.

NEXT FINANCIAL GROUP, INC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

TOWER SQUARE SECURITIES, INC.

TOWER SQUARE SECURITIES, INC.

GROVE POINT INVESTMENTS, LLC

GROVE POINT INVESTMENTS, LLC

SECURIAN FINANCIAL SERVICES, INC.

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

TAMARON INVESTMENTS, INC.

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/25/1998

Series 63

Date: 8/26/1992

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/13/1992

Series 6

Date: 9/5/1990

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

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