DH
Douglas P. Hepburn
CETERA INVESTMENT ADVISERS LLC
PHOENIXVILLE, PA
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CRD#: 2845633
DH
Professional summary
Douglas P Hepburn, CFP®, who also goes by Douglas Perin Hepburn, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Phoenixville, Pennsylvania and CETERA ADVISORS LLC located in Phoenixville, Pennsylvania.
Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Douglas 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
Douglas Perin Hepburn
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: FINANCIAL WORKSHOPS LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: FINANCIAL EDUCATION; START DATE: 2023; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: FINANCIAL EDUCATION, DIVORCE FINANCIAL PLANNING, ESTATE SETTLEMENT,SALES, MARKETING AND ADMINISTRATION RELATED TO BUSINESS; 2. DBA HEPBURN FINANCIAL ADVISORS; INVESTMENT RELATED; ADDRESS IS THE REGISTERED LOCATION; FINANCIAL SERVICES; START 10/2006; 60 HOURS/WEEK DURING SECURITIES TRADING HOURS; OWNER/PRESIDENT 3. NAME OF OTHER BUSINESS: ESTATE OF AUSTIN B HEPBURN INVESTMENT RELATED: NO ADDRESS: 508 ELM AVENUE. PHOENIXVILLE, PA 19460 NATURE OF BUSINESS: FATHERS ESTATE START DATE: 01/01/2016 POSITION/TITLE/RELATIONSHIP: ESTATE EXECUTOR APX NUMBER OF HOURS PER WEEK: LESS THAN 1 APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: ESTATE EXECUTOR 4. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 09/2023; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELL LIFE AND HEALTH; 5. NAME OF OTHER BUSINESS: LOWER PROVIDENCE JR TRAP; INVESTMENT RELATED: NO; ADDRESS: 2857 EGYPT RD AUDUBON, PA 19407; NATURE OF BUSINESS: YOUTH SPORTS TEAM; START DATE: 2014; POSITION/TITLE/RELATIONSHIP: FOUNDER/EXECUTIVE DIRECTOR; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: PROVIDE GUIDANCE TO VOLUNTEERS ON HOW TO OPERATE TEAM, APPLY FOR GRANTS, ACCOUNTING AND PAY EXPENSES;
CRS (Client Relationship Summary) - RIA
Click below to view Douglas P Hepburn'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®
CFP®
Start date: 2005
Experience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #2: 101 Lindenwood Drive Unit 225, Malvern, PA 19355Office #3: 150 N Radnor Chester Rd Suite F-200, Radnor, PA 19087RIA
CRD#: 105644
PHOENIXVILLE, PA
Current
October 17, 2005 - Present
CETERA ADVISORS LLC
BD
CRD#: 10299
Phoenixville, PA
Past
November 2, 2006 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
PHOENIXVILLE, PA
Past
February 1, 2006 - October 17, 2006
SMART FINANCIAL ADVISORS, LLC
RIA
CRD#: 118006
DEVON, PA
Past
January 2, 2003 - October 24, 2005
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
June 1, 1998 - October 24, 2005
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
February 24, 1997 - June 1, 1998
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
RADNOR, 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
Colorado(8/30/2012)
RR
Florida(10/17/2005)
RR
Georgia(11/18/2021)
RR
Maryland(10/17/2005)
RR
Pennsylvania(10/17/2005)
IAR
Pennsylvania(3/21/2024)
RR
Washington(1/10/2012)
RR
Wyoming(9/10/2018)
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
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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.
