SD
Steven Douglas
CETERA INVESTMENT ADVISERS LLC
WEST CHESTER, PA 19380
Some features on this profile are disabled
CRD#: 2834618
SD
Professional summary
Steven Douglas, who also goes by Steve Douglas, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in West Chester, Pennsylvania and CETERA WEALTH SERVICES, LLC located in West Chester, Pennsylvania.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Steven has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steve Douglas
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)EXCHANGE CLUB CENTER FOR THE PREVENTION OF CHILD ABUSE OF CHESTER COUNTY PA; POSITION: Advisory Board member NATURE: A private non-profit program that seeks to prevent child abuse in families at risk of abuse. Parent aides work one on one with families (usually single parents) to teach them life skills and how to deal with stress without reaching to violence and verbal abuse. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 09/27/1990; ADDRESS: 310 N Matlack St, West Chester PA 19380, United States; DESCRIPTION: This is an advisory board only. We have no legal authority to set policies, establish budgets or hire/fire employees. We make recommendations only and assist the program director with fund raising (primarily). This is a program under the umbrella of Family Service of Chester County. This OBA was formerly covered under my Family Service of Chester County activity, which I changed to inactive earlier this year after leaving the FSCC board. 2) KRISTY M. DOUGLAS. CPA; POSITION: CPA NATURE: CPA firm INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0; DESCRIPTION: CPA 3) BRANDYWINE VALLEY WEALTH ADVISORS, LLC; POSITION: OWNER - FINANCIAL SERVICES NATURE: FINANCIAL ADVISORS INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 90 START DATE: 06/05/2001; ADDRESS: 22 N VALENTINE DR, GARNET VALLEY PA 19060, United States; DESCRIPTION: MAJORITY OWNER OF THIS WEALTH MANAGEMENT FIRM PERFORMING CLIENT SERVICES AND ADMINISTRATIVE SERVICES REQUIRED.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Douglas'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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 535 North Church Street Suite 113, West Chester, PA 19380RIA
CRD#: 105644
WEST CHESTER, PA
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 535 North Church Street Suite 113, West Chester, PA 19380BD
CRD#: 13572
WEST CHESTER, PA
Past
October 25, 2019 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Honey Brook, PA
Past
October 25, 2019 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
WEST CHESTER, PA
Past
January 21, 1998 - October 25, 2019
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
GARNET VALLEY, PA
Past
March 7, 1997 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
GARNET VALLEY, PA
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(9/5/2025)
RR
Maryland(9/5/2025)
RR
Pennsylvania(9/5/2025)
IAR
Pennsylvania(9/5/2025)
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
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.
