PD
Paul R. Dowd
CETERA INVESTMENT ADVISERS LLC
Bristol, IN
Some features on this profile are disabled
CRD#: 2258730
PD
Professional summary
Paul Raymond Dowd, AIF®, CIMA® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Bristol, Indiana and CETERA WEALTH SERVICES, LLC located in Brookfield, Wisconsin.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Paul has worked at 8 firms and has passed the Series 63, Series 65, Series 6TO, SIE and Series 7 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: THE BENEFIT COMPANIES INC.; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 08/2022; POSITION/TITLE/RELATIONSHIP: BUSINESS DEVELOPMENT DIRECTOR; APX NUMBER OF HOURS PER WEEK: 20; APX NUMBER OF HOURS DURING TRADING HOURS: 20; BRIEF DESCRIPTION OF DUTIES: ASSISTING IN DEVELOPING MARKETING AND SALES INITIATIVES FOR THE RETIREMENT PLANS DIVISION; 2. NAME OF OTHER BUSINESS: THE BENEFIT COMPANIES INC DBA BENETRAK, INC & BENEVEST, INC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: RETIREMENT PLAN SERVICES; START DATE: 05/2022; POSITION/TITLE/RELATIONSHIP: BUSINESS DEVELOPMENT DIRECTOR; APX NUMBER OF HOURS PER WEEK: 20; APX NUMBER OF HOURS DURING TRADING HOURS: 20; BRIEF DESCRIPTION OF DUTIES: ENGAGE WITH PROSPECTS TO ASSIST THEM IN ESTABLISHING NEW 401(K) PLANS FOR THEIR BUSINESS AND EXECUTING A PLAN ADVICE AND CONSULTING PROGRAM, PARTNER WITH PROVIDERS TO CREATE INVESTMENT MENUS AS WELL AS PARTICIPANT PROVISION FOR THE NEW PLANS; 3. NAME OF OTHER BUSINESS: TRAIL LIFE TROOP IN-0507; INVESTMENT RELATED: NO; ADDRESS: 415 NORTH BROOKFIELD STREET SOUTH BEND, IN 46628 NATURE OF BUSINESS: BOYS CLUB TROOP; START DATE: 09/2023; POSITION/TITLE/RELATIONSHIP: TREASURER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: COLLECT DUES, MAKE DEPOSITS, MAINTAIN RECORD OF WHO HAS PAID DUES, REIMBURSE EXPENSES ;
CRS (Client Relationship Summary) - RIA
Click below to view Paul Raymond Dowd'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®
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
Bristol, IN
Current
December 21, 2022 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 250 N Patrick Blvd Ste 100, Brookfield, WI 53045BD
CRD#: 13572
Brookfield, WI
Past
November 9, 2022 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
May 9, 2011 - September 14, 2022
MORNINGSTAR INVESTMENT MANAGEMENT LLC
RIA
CRD#: 108031
GOSHEN, IN
Past
July 8, 2003 - April 4, 2008
DWS INVESTMENT MANAGEMENT AMERICAS, INC.
RIA
CRD#: 104518
CHICAGO, IL
Past
July 8, 2003 - April 4, 2008
DWS DISTRIBUTORS, INC.
BD
CRD#: 37306
CHICAGO, IL
Past
July 6, 1998 - May 29, 2003
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
CHICAGO, IL
Past
February 13, 1997 - May 29, 2003
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
March 14, 1996 - November 20, 1996
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
August 13, 1992 - July 7, 1995
NYLIFE SECURITIES LLC
BD
CRD#: 5167
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
Illinois(1/3/2024)
RR
Indiana(1/30/2023)
IAR
Indiana(6/29/2023)
RR
Wisconsin(12/4/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 12/21/2022
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
