Douglas Schiffmiller

CETERA INVESTMENT ADVISERS LLC

BROOKLYN, NY

Some features on this profile are disabled

CRD#: 4222388

Professional summary

Douglas Schiffmiller is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Brooklyn, New York and CETERA WEALTH SERVICES, LLC located in Brooklyn, 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 66, Series 63, SIE, Series 7, Series 6 and Series 24 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)RETIREMENT HELP GROUP POSITION: FINANCIAL ADVISOR NATURE: We offer investment planning, retirement planning, tax planning, financial planning and estate planning services under this DBA. INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 120 START DATE: 03/01/2010 ADDRESS: 9712 3rd Ave, Suite 1, Brooklyn NY 11209, United States DESCRIPTION: Meeting with clients to review their financials towards retirement.prospecting and servicing current clients,forging new relationships and maintaining them over a long period of time

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Schiffmiller'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 5, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

BROOKLYN, NY

Current

September 5, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 9712 3rd Ave Suite 1, Brooklyn, NY 11209

CRD#: 13572

Brooklyn, NY

Past

December 4, 2023 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

Brooklyn, NY

Past

December 4, 2023 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

Brooklyn, NY

Past

September 16, 2016 - August 28, 2017

BLUEPRINT WEALTH ALLIANCE, LLC

RIA

CRD#: 284167

Brooklyn, NY

Past

January 8, 2010 - December 5, 2023

AMERICAN PORTFOLIOS ADVISORS, INC

RIA

CRD#: 112697

HOLBROOK, NY

Past

August 6, 2009 - December 5, 2023

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

BROOKLYN, NY

Past

June 19, 2001 - August 10, 2009

FSC SECURITIES CORPORATION

CRD#: 7461

BROOKLYN, NY

Past

September 1, 2000 - June 22, 2001

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

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
(9/5/2025)

California
(9/5/2025)

Delaware
(10/16/2025)

Florida
(9/5/2025)

Maryland
(9/5/2025)

Massachusetts
(9/5/2025)

New Jersey
(9/5/2025)

New York
(9/5/2025)

IAR

New York
(9/5/2025)

North Carolina
(9/5/2025)

South Carolina
(9/5/2025)

Texas
(9/5/2025)

IAR

Texas
(9/5/2025)

Virginia
(9/5/2025)

Washington
(9/5/2025)

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: 1/25/2022

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/21/2000

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: 5/18/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/31/2000

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/20/2005

General Securities 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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Douglas Schiffmiller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

BLUEPRINT WEALTH ALLIANCE, LLC

AMERICAN PORTFOLIOS ADVISORS, INC

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

FSC SECURITIES CORPORATION

OSAIC WEALTH, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/25/2022

Series 63

Date: 8/21/2000

SIE

Date: 10/1/2018

Series 7

Date: 5/18/2001

Series 6

Date: 8/31/2000

Series 24

Date: 1/20/2005

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

Similar Advisors