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Douglas S. Miltenberger

CETERA INVESTMENT ADVISERS LLC
INDIANAPOLIS, IN 46240
Some features on this profile are disabled
CRD#: 4129649
DM

Professional summary

Douglas Swain Miltenberger, who also goes by Douglas Swain Mittenberger, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Indianapolis, Indiana and CETERA INVESTMENT SERVICES LLC located in Indianapolis, Indiana.

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 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Douglas Swain Mittenberger

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. REGIONAL SALES MANAGER FOR FIRST MERCHANTS PRIVATE WEALTH ADVISORS; LEAD TEAM OF WEALTH MANAGEMENT TRUST OFFICERS AND WEALTH ADVISORS; RESPONSIBLE FOR SALES PRODUCTION AND MANAGEMENT OF TEAM; 2. FINANCE COMMITTEE MEMBER FOR BALL STATE UNIVERSITY ALUMNI COUNCIL; REPORTS THE FINANCIALS AND GENERAL FINANCIAL OVERSIGHT

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Swain Miltenberger'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

October 18, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 8711 River Crossing Blvd, Indianapolis, IN 46240
RIA
CRD#: 105644
INDIANAPOLIS, IN
Current

October 18, 2024 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 8711 River Crossing Blvd, Indianapolis, IN 46240
BD
CRD#: 15340
Indianapolis, IN
Past

May 19, 2010 - August 15, 2024

THE HUNTINGTON INVESTMENT COMPANY

RIA
CRD#: 16986
Indianapolis, IN
Past

May 19, 2010 - August 15, 2024

THE HUNTINGTON INVESTMENT COMPANY

BD
CRD#: 16986
Indianapolis, IN
Past

November 13, 2009 - April 6, 2010

PNC WEALTH MANAGEMENT LLC

RIA
CRD#: 129052
BROWNSBURG, IN
Past

November 13, 2009 - April 6, 2010

PNC WEALTH MANAGEMENT LLC

BD
CRD#: 129052
BROWNSBURG, IN
Past

February 2, 2006 - November 13, 2009

NATCITY INVESTMENTS, INC.

RIA
CRD#: 17490
INDIANAPOLIS, IN
Past

August 1, 2003 - November 13, 2009

NATCITY INVESTMENTS, INC.

BD
CRD#: 17490
INDIANAPOLIS, IN
Past

October 18, 2001 - January 4, 2002

CONSECO EQUITY SALES, INC.

BD
CRD#: 4125
CARMEL, IN
Past

April 20, 2000 - May 30, 2001

HARRISDIRECT LLC

BD
CRD#: 42159
JERSEY CITY, NJ

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
Indiana
(10/18/2024)
IAR
Indiana
(10/18/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 1/20/2006
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/15/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/19/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/3/2007
General Securities Principal Examination
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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644Indianapolis, IN 46240

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