DS
Douglas E. Shepler
CETERA INVESTMENT ADVISERS LLC
Fort Wayne, IN
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CRD#: 2253405
DS
Professional summary
Douglas Eugene Shepler is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Fort Wayne, Indiana and CETERA WEALTH SERVICES, LLC located in Fort Wayne, Indiana.
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 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 09/1992; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 2. NAME OF OTHER BUSINESS: BIPPUS STATE BANK; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: BANK; START DATE: 06/2014; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL - NOT EMPLOYED BY THE INSTITUTION; APX NUMBER OF HOURS PER WEEK: 20; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: FINANCIAL PROFESSIONAL - NOT EMPLOYED BY THE INSTITUTION; 3. NAME OF OTHER BUSINESS: BSB INVESTMENTS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 06/2015; POSITION/TITLE/RELATIONSHIP: FINANCIAL CONSULTANT; APX NUMBER OF HOURS PER WEEK: 12; APX NUMBER OF HOURS DURING TRADING HOURS: 12; BRIEF DESCRIPTION OF DUTIES: INVESTMENT ADVICE, FINANCIAL PLANNING;
CRS (Client Relationship Summary) - RIA
Click below to view Douglas Eugene Shepler'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
July 16, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #2: 150 Hauenstein Rd, Huntington, IN 46750RIA
CRD#: 105644
Fort Wayne, IN
Current
July 16, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #2: 150 Hauenstein Road, Huntington, IN 46750BD
CRD#: 13572
Fort Wayne, IN
Past
January 7, 2003 - July 23, 2025
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT WAYNE, IN
Past
January 7, 2003 - July 23, 2025
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT WAYNE, IN
Past
January 2, 2002 - September 13, 2002
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
Past
June 23, 2000 - December 20, 2002
ROBERT W. BAIRD & CO. INCORPORATED
RIA
CRD#: 8158
FORT WAYNE, IN
Past
February 25, 2000 - December 20, 2002
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
May 12, 1995 - March 8, 2000
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
July 31, 1993 - May 15, 1995
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
September 23, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
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
Alabama(7/24/2025)
RR
Arizona(7/29/2025)
RR
Arkansas(7/23/2025)
RR
Florida(7/17/2025)
RR
Georgia(7/17/2025)
RR
Illinois(7/21/2025)
RR
Indiana(7/16/2025)
IAR
Indiana(7/16/2025)
RR
Iowa(7/23/2025)
RR
Michigan(7/18/2025)
RR
Missouri(7/17/2025)
RR
Ohio(7/22/2025)
RR
Tennessee(7/17/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
