DB
Douglas A. Becker
CETERA INVESTMENT ADVISERS LLC
HANOVER, PA 17331
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CRD#: 2243437
DB
Professional summary
Douglas Allen Becker, who also goes by Douglas A Becker, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Hanover, Pennsylvania and CETERA WEALTH SERVICES, LLC located in Hanover, Pennsylvania.
Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Douglas has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Douglas A Becker
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) TAX PREPARATION; SINCE 02/02/1992; REGISTERED TAX PREPARER; AT BRANCH OFFICE - PREPARATION OF CLIENTS' TAX RETURNS ANNUALLY - COMPENSATION IS SET FLAT FEE DEPENDING ON DIFFICULTY - 80 HR A MONTH DURING TRADING HRS DURING TAX SEASON - ZERO DURING OFF SEASON. (2) HOMEWOOD RETIREMENT CENTERS INC.; NOT INVESTMENT RELATED; 16107 ELLIOT PARKWAY, WILLIAMSPORT, MD 21795; NON-PROFIT BOARD OF DIRECTORS; TRUSTEE; START 1/1/2018; APX 3 HOURS/MONTH, 3 DURING TRADING; ATTEND QUARTERLY MEETING OF THE BOARD OF TRUSTEES, SERVE ON FINANCE COMMITTEE (3) NAME OF OTHER BUSINESS: HANOVER CAPITAL MANAGEMENT INC ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: DBA FOR FINANCIAL SERVICES ; START DATE: 02/1992 ; POSITION/TITLE/RELATIONSHIP: MANAGER ; APX NUMBER OF HOURS PER WEEK: 40-50 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ; BRIEF DESCRIPTION OF DUTIES: OVERSEE OPERATIONS AND MEET WITH CLIENTS, MAKE INVESTMENT DECISIONS ; (4) NAME OF OTHER BUSINESS: HCM WEALTH ADVISORY GROUP, LLC ; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FINANCIAL SERVICES ; START DATE: 01/2022 ; POSITION/TITLE/RELATIONSHIP: PARTNER / FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES AND EXPENSE MANAGEMENT ;
CRS (Client Relationship Summary) - RIA
Click below to view Douglas Allen Becker'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
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 40 York Street, Hanover, PA 17331RIA
CRD#: 105644
HANOVER, PA
Current
September 20, 2019 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 40 York Street, Hanover, PA 17331BD
CRD#: 13572
Hanover, PA
Past
March 22, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
December 17, 2013 - May 20, 2021
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
HANOVER, PA
Past
August 20, 2009 - September 20, 2019
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
HANOVER, PA
Past
August 30, 2002 - August 24, 2009
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
HANOVER, PA
Past
December 3, 2001 - August 30, 2002
GROVE POINT INVESTMENTS, LLC
BD
CRD#: 1763
ROCKVILLE, MD
Past
January 16, 1998 - December 5, 2001
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
Past
May 18, 1994 - February 2, 1998
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
DALLAS, TX
Past
June 5, 1992 - April 19, 1994
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
ST. PAUL, MN
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
California(9/20/2019)
RR
Colorado(9/20/2019)
RR
Delaware(9/20/2019)
RR
Florida(9/23/2019)
RR
Georgia(9/20/2019)
RR
Maryland(9/20/2019)
RR
New York(7/29/2024)
RR
Pennsylvania(9/20/2019)
IAR
Pennsylvania(6/29/2023)
RR
South Carolina(9/20/2019)
RR
Texas(9/20/2019)
IAR
Texas(6/29/2023)
RR
Virginia(9/20/2019)
Exams
State Security Law Exam
State Security Law 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
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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.
