Donald L. Tapp

CETERA INVESTMENT ADVISERS LLC

GLENWOOD SPRINGS, CO 81601

Some features on this profile are disabled

CRD#: 4554286

Professional summary

Donald Lee Tapp JR, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Glenwood Springs, Colorado and CETERA WEALTH SERVICES, LLC located in Glenwood Springs, Colorado.

Donald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Donald has worked at 5 firms and has passed the Series 66, SIE and Series 7 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) Tapp Investments, LLC~62 Laird Lane~Glenwood Springs~CO~81601~No Outside Business Activities - Investments Only~Partner/General Partner~9/3/2004~1hrs~1hrs~LLC created for personal investments.| 2) Don Tapp CPA, Inc.~1227 Grand Avenue~Glenwood Springs~CO~81601~Accounting Services/Tax Preparation~Owner~1/20/2005~40hrs~40hrs~Tax Planning and Preparation. Strategic business consulting. Accounting services.| 3) Nothwestern Colorado Youth for Christ~1614 Grand Avenue~Glenwood Springs~CO~81601~Other~Other~11/1/2019~6hrs~0hrs~Financial and tax reporting.| 4) TAPP & ASSOCIATES, INC. POSITION: Owner NATURE: Trade Name INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 20 START DATE: 07/11/2011 ADDRESS: 1227 Grand Avenue, Glenwood Springs CO 81601, United States DESCRIPTION: Trade Name

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Donald Lee Tapp JR'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®

CFP^®

Certified Financial Planner

Start date: 2002

Experience

Current

September 5, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 804 Colorado Avenue, Glenwood Springs, CO 81601

RIA

CRD#: 105644

GLENWOOD SPRINGS, CO

Current

September 5, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 1227 Grand Avenue, Glenwood Springs, CO 81601

CRD#: 13572

GLENWOOD SPRINGS, CO

Past

February 5, 2005 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

GLENWOOD SPRINGS, CO

Past

December 17, 2004 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

GLENWOOD SPRINGS, CO

Past

September 13, 2002 - January 5, 2005

WADDELL & REED

RIA

CRD#: 866

GRAND JUNCTION, CO

Past

September 12, 2002 - January 5, 2005

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

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

Colorado
(9/5/2025)

IAR

Colorado
(9/5/2025)

Idaho
(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: 10/17/2002

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/11/2002

General Securities Representative 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

Chris Crosby

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Boise, ID

Allan Wiltshire

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

IAR

Athens, GA

George Simon

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

IAR

Chesterfield, MO

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Donald L. Tapp

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Donald Lee Tapp JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

WADDELL & REED

WADDELL & REED

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/17/2002

SIE

Date: 10/1/2018

Series 7

Date: 9/11/2002

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