Dominique Davis

CETERA INVESTMENT ADVISERS LLC

ALPHARETTA, GA

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CRD#: 2965551

Professional summary

Dominique Davis, who also goes by Dominique Geraldine Davis, Dominique Davis, Dominique Geraldine Picard, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Alpharetta, Georgia and CETERA INVESTMENT SERVICES LLC located in St. Cloud, Minnesota.

Dominique is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Dominique has worked at 16 firms and has passed the Series 66, Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dominique Geraldine Davis | Dominique Davis | Dominique Geraldine Picard

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dominique Davis's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 24, 2021 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

ALPHARETTA, GA

Current

September 23, 2021 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 400 First St. S. Suite 300, St. Cloud, MN 56301

CRD#: 15340

St. Cloud, MN

Current

May 26, 2022 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 400 1st St S Ste 300, St Cloud, MN 56301

CRD#: 13572

St Cloud, MN

Current

May 26, 2022 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 400 1st St S Ste 300, St Cloud, MN 56301

CRD#: 10358

St Cloud, MN

Current

May 26, 2022 - Present

CETERA ADVISORS LLC

Office #1: 400 1st St S Ste 300, St Cloud, MN 56301

CRD#: 10299

St Cloud, MN

Past

May 26, 2022 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN DIEGO, CA

Past

March 3, 2021 - September 24, 2021

THE STRATEGIC FINANCIAL ALLIANCE, INC.

RIA

CRD#: 126514

ATLANTA, GA

Past

March 2, 2021 - September 24, 2021

THE STRATEGIC FINANCIAL ALLIANCE, INC.

CRD#: 126514

ATLANTA, GA

Past

March 1, 2019 - July 27, 2020

TRIAD ADVISORS LLC

RIA

CRD#: 25803

NORCROSS, GA

Past

February 13, 2019 - July 27, 2020

TRIAD ADVISORS LLC

CRD#: 25803

NORCROSS, GA

Past

June 30, 2011 - July 14, 2017

HARRISDIRECT LLC

RIA

CRD#: 42159

ALPHARETTA, GA

Past

June 30, 2011 - July 14, 2017

E*TRADE SECURITIES LLC

CRD#: 29106

ALPHARETTA, GA

Past

December 16, 2010 - February 1, 2011

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

ATLANTA, GA

Past

December 15, 2010 - February 1, 2011

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

ATLANTA, GA

Past

August 23, 2004 - July 6, 2010

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

ATLANTA, GA

Past

August 23, 2004 - July 6, 2010

UBS FINANCIAL SERVICES INC.

CRD#: 8174

ATLANTA, GA

Past

July 2, 2002 - June 25, 2004

UBS ASSET MANAGEMENT (US) INC.

CRD#: 583

NEW YORK, NY

Past

March 14, 2000 - December 11, 2001

MAY, DAVIS GROUP INC.

CRD#: 35622

NEW YORK, NY

Past

January 21, 1999 - February 1, 2000

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

January 21, 1999 - February 1, 2000

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

February 10, 1998 - February 23, 1999

MAY, DAVIS GROUP INC.

CRD#: 35622

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Georgia
(9/23/2021)

IAR

Georgia
(9/24/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/14/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/10/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 7/14/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 6/5/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 2/9/1998

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Firm Stability Insights

Dominique Davis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dominique Davis's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

CETERA WEALTH SERVICES, LLC

CETERA FINANCIAL SPECIALISTS LLC

CETERA ADVISORS LLC

FIRST ALLIED SECURITIES, INC.

THE STRATEGIC FINANCIAL ALLIANCE, INC.

THE STRATEGIC FINANCIAL ALLIANCE, INC.

TRIAD ADVISORS LLC

TRIAD ADVISORS LLC

HARRISDIRECT LLC

E*TRADE SECURITIES LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

UBS ASSET MANAGEMENT (US) INC.

MAY, DAVIS GROUP INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

MAY, DAVIS GROUP INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/14/2003

Series 63

Date: 3/10/1998

Series 57TO

Date: 1/2/2023

SIE

Date: 7/14/2017

Series 55

Date: 6/5/2000

Series 7

Date: 2/9/1998

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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