Douglas L. Cash
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 Leon Cash, who also goes by Doug Leon Cash, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 2007. Douglas had worked at 6 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
March 21, 2018 - January 7, 2019
CETERA INVESTMENT ADVISERS LLC
March 21, 2018 - January 7, 2019
CETERA INVESTMENT SERVICES LLC
September 1, 2015 - March 30, 2016
CETERA INVESTMENT SERVICES LLC
August 27, 2015 - March 30, 2016
CETERA INVESTMENT ADVISERS LLC
January 2, 2013 - December 13, 2013
INVESTMENT PROFESSIONALS, INC.
January 2, 2013 - December 13, 2013
INVESTMENT PROFESSIONALS, INC.
April 2, 2012 - December 13, 2012
U.S. BANCORP INVESTMENTS, INC.
April 2, 2012 - December 13, 2012
U.S. BANCORP INVESTMENTS, INC.
August 7, 2009 - March 23, 2012
FIFTH THIRD SECURITIES, INC.
August 7, 2009 - March 23, 2012
FIFTH THIRD SECURITIES, INC.
May 23, 2007 - August 6, 2009
EDWARD JONES
April 12, 2007 - August 6, 2009
EDWARD JONES
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 |
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.
