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Douglas I. Donald
CETERA INVESTMENT ADVISERS LLC
LEXI\NGTON, KY
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CRD#: 3250757
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Professional summary
Douglas Irving Donald is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Lexi\ngton, Kentucky and CETERA WEALTH SERVICES, LLC located in Lexington, Kentucky.
Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Douglas has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 6 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) INVESTMENT SERVICES POSITION: OWNER NATURE: INVESTMENT SERVICES INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 7 START DATE: 01/01/2017 ADDRESS: Lexington KY 40504, United States DESCRIPTION: I do not think this is an outside business but name that I do my investment business under with 1st Global. I am the owner of the DBA. 2) DIVORCE FINANCIAL SOLUTIONS LLC POSITION: PRESIDENT NATURE: DIVORCE FINANCIAL PLANNING INVESTMENT RELATED: Yes NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 2 START DATE: 01/01/2017 ADDRESS: Lexington KY 40504, United States DESCRIPTION: I will be doing Certified Divorce Financial Analyst and Forensic work related to divorce. 3) CENTRAL KENTUCKY SECOND SATURDAY DIVORCE WORKSHOP POSITION: LEADER/PRESENTER NATURE: DIVORCE WORKSHOP INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 08/13/2016 ADDRESS: 2410 Greatstone Point, Lexington KY 40504, United States DESCRIPTION: I will be presenting the financial issues in divorce. 4) DONALD & COMPANY P.S.C. POSITION: Officer NATURE: Advise, executor duties and accounting services to a client. Also be executor of estate that I am doing business under Donald & Company PSC and personally. To active again the service of Donald & Company PSC that I inactive it in 6/15/2017. INVESTMENT RELATED: Yes NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 30 START DATE: 05/15/2023 ADDRESS: 1104 Tanbark Road, Lexington KY 40515-1818, United States DESCRIPTION: Advise, executor and accounting services to client. Executor of Estate of Joann Tsoutsouris. 5) CENTRAL KENTUCKY SECOND SATURDAY DIVORCE WORKSHOP POSITION: LEADER/PRESENTER NATURE: DIVORCE WORKSHOP INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 08/13/2016 ADDRESS: 1104 Tanbark Road, Lexington KY 40515-1818, United States DESCRIPTION: I will be presenting the financial issues in divorce.
CRS (Client Relationship Summary) - RIA
Click below to view Douglas Irving Donald'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
RIA
CRD#: 105644
LEXI\NGTON, KY
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
LEXINGTON, KY
Past
October 25, 2019 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
LEXI\NGTON, KY
Past
October 25, 2019 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
LEXINGTON, KY
Past
June 25, 2003 - October 25, 2019
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
LEXINGTON, KY
Past
June 9, 2003 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
LEXINGTON, KY
Past
January 31, 2000 - June 2, 2003
UNIFIED FINANCIAL SECURITIES, LLC
BD
CRD#: 7868
INDIANAPOLIS, IN
Past
July 14, 1999 - January 31, 2000
UNIFIED INVESTMENT SERVICES, INC.
BD
CRD#: 34628
INDIANAPOLIS, IN
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(9/5/2025)
RR
Florida(9/5/2025)
RR
Indiana(9/5/2025)
RR
Kansas(9/5/2025)
RR
Kentucky(9/5/2025)
IAR
Kentucky(9/5/2025)
RR
Ohio(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Virginia(9/5/2025)
Exams
State Security Law Exam
General Industry/Product 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.
