Douglas A. Long
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Douglas Arthur Long, who also goes by Doug Arthur Long, Doug Long, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 2000. Douglas had worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 29, 2023 - December 31, 2023
CETERA INVESTMENT ADVISERS LLC
August 20, 2018 - June 29, 2023
CETERA WEALTH SERVICES, LLC
August 20, 2018 - December 31, 2023
CETERA WEALTH SERVICES, LLC
March 25, 2017 - August 23, 2018
MML INVESTORS SERVICES, LLC
March 25, 2017 - August 23, 2018
MML INVESTORS SERVICES, LLC
February 26, 2007 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
February 1, 2007 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
February 1, 2007 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
March 17, 2005 - November 2, 2006
AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC
March 9, 2005 - October 31, 2006
AMSOUTH INVESTMENT SERVICES, INC.
April 15, 2004 - March 2, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 12, 2000 - March 2, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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.
