Douglas W. Lafay

CETERA INVESTMENT ADVISERS LLC

EAST CONCORD, NY 14055

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CRD#: 4095159

Professional summary

Douglas William Lafay is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in East Concord, New York and CETERA FINANCIAL SPECIALISTS LLC located in East Concord, New York.

Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Douglas has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 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) CONCORD WEALTH MANAGEMENT, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, OWNED BY LAFAY STRATEGIES GROUP, INC., PRESIDENT, 40H/WEEK, SINCE 07/2023. 2) LAFAY STRATEGIES GROUP, INC DBA CONCORD WEALTH MANAGEMENT, INVESTMENT RELATED ADDRESS SAME AS REGISTERED BRANCH, PRESIDENT, TREASURER, PART SHAREHOLDER, S CHAPTER CORPORATION, OWNS THE LEASE ON OFFICE AND EQUIPMENT, SINCE 06/2021.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas William Lafay'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

July 24, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 12111 Vaughn St, East Concord, NY 14055

RIA

CRD#: 105644

EAST CONCORD, NY

Current

July 24, 2024 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 12111 Vaughn St, East Concord, NY 14055

CRD#: 10358

EAST CONCORD, NY

Past

October 21, 2020 - July 26, 2024

CADARET, GRANT & CO., INC.

RIA

CRD#: 10641

EAST CONCORD, NY

Past

October 5, 2020 - July 26, 2024

CADARET, GRANT & CO., INC.

CRD#: 10641

EAST CONCORD, NY

Past

June 6, 2019 - October 13, 2020

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.

CRD#: 13594

SAN MATEO, CA

Past

May 10, 2006 - October 13, 2020

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

CRD#: 332

SAN MATEO, CA

Past

July 22, 2004 - December 1, 2005

CHARTER ONE SECURITIES, INC.

CRD#: 13373

CLEVELAND, OH

Past

August 2, 2001 - June 29, 2004

M&T SECURITIES, INC.

CRD#: 17358

BALTIMORE, MD

Past

July 6, 2000 - July 25, 2001

EQUITY SERVICES, INC.

CRD#: 265

MONTPELIER, VT

Past

April 26, 2000 - May 9, 2000

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, 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

Arizona
(7/24/2024)

California
(7/24/2024)

Colorado
(7/24/2024)

Florida
(7/24/2024)

Georgia
(5/14/2025)

Massachusetts
(7/24/2024)

New Jersey
(7/24/2024)

New York
(7/24/2024)

IAR

New York
(7/24/2024)

Ohio
(7/24/2024)

Oregon
(7/24/2024)

Pennsylvania
(7/24/2024)

South Carolina
(7/26/2024)

Texas
(7/24/2024)

IAR

Texas
(7/24/2024)

Virginia
(7/24/2024)

Wisconsin
(7/24/2024)

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 65

Date: 10/20/2020

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/28/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/5/2004

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/10/2000

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/13/2004

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 9/19/2000

Investment Company Products/Variable Contracts Principal 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

Douglas W. Lafay

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas William Lafay's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA FINANCIAL SPECIALISTS LLC

CADARET, GRANT & CO., INC.

CADARET, GRANT & CO., INC.

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

CHARTER ONE SECURITIES, INC.

M&T SECURITIES, INC.

EQUITY SERVICES, INC.

CITICORP INVESTMENT SERVICES

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/20/2020

Series 63

Date: 2/28/2000

SIE

Date: 10/1/2018

Series 7

Date: 1/5/2004

Series 6

Date: 2/10/2000

Series 24

Date: 2/13/2004

Series 26

Date: 9/19/2000

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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