DK
Douglas S. Klimah
CETERA INVESTMENT ADVISERS LLC
Chicago, IL 60612
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CRD#: 5342067
DK
Professional summary
Douglas Scott Klimah is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Chicago, Illinois and CETERA ADVISORS LLC located in Orland Park, Illinois.
Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Douglas has worked at 5 firms and has passed the Series 66, Series 63, 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.NAME OF OTHER BUSINESS: MEGENT FINANCIAL; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 08/2011; POSITION/TITLE/RELATIONSHIP: INVESTMENT EXECUTIVE; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL ADVICE TO MY CLIENTS; 2. NAME OF OTHER BUSINESS: MEGANT FINANCIAL, INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: NOTARIAL SERVICES, START DATE: 05/2025, POSITION/TITLE/RELATIONSHIP: NOTARY, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF HOURS DURING TRADING HOURS: 1, BRIEF DESCRIPTION OF DUTIES: NOTARIZE UNION MEMBER DOCUMENTS;
CRS (Client Relationship Summary) - RIA
Click below to view Douglas Scott Klimah's 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®
NoneExperience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1928 West Fulton #3, Chicago, IL 60612Office #2: 1200 Harger Road Suite 325, Oak Brook, IL 60523Office #3: 15321 S 94th Ave Ste 100, Orland Park, IL 60462RIA
CRD#: 105644
Chicago, IL
Current
May 17, 2019 - Present
CETERA ADVISORS LLC
Office #1: 15321 S 94th Ave Ste 100, Orland Park, IL 60462Office #2: 1928 West Fulton #3, Chicago, IL 60612Office #3: 1200 Harger Road Suite 325, Oak Brook, IL 60523BD
CRD#: 10299
Orland Park, IL
Past
May 17, 2019 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
April 29, 2016 - May 28, 2019
OPUS WEALTH MANAGEMENT GROUP
RIA
CRD#: 176525
Lockport, IL
Past
April 28, 2016 - June 7, 2019
LPL FINANCIAL LLC
BD
CRD#: 6413
LOCKPORT, IL
Past
May 17, 2013 - May 2, 2016
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
ORLAND PARK, IL
Past
September 14, 2012 - May 2, 2016
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ORLAND PARK, IL
Past
August 2, 2007 - October 5, 2012
LPL FINANCIAL LLC
BD
CRD#: 6413
TINLEY PARK, IL
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
Alabama(2/27/2025)
RR
Alaska(5/27/2021)
RR
Arizona(5/17/2019)
RR
Arkansas(7/23/2024)
RR
California(2/14/2024)
RR
Colorado(5/17/2019)
RR
Florida(5/17/2019)
RR
Georgia(8/20/2024)
RR
Illinois(5/17/2019)
IAR
Illinois(3/21/2024)
RR
Indiana(5/17/2019)
RR
Iowa(10/10/2024)
RR
Kansas(5/17/2019)
RR
Kentucky(7/29/2024)
RR
Michigan(1/14/2021)
RR
Minnesota(7/21/2021)
RR
Mississippi(2/27/2025)
RR
Missouri(8/19/2024)
RR
Nevada(5/17/2019)
RR
New Mexico(8/27/2025)
RR
New York(2/5/2024)
RR
Oklahoma(7/21/2021)
RR
Oregon(6/8/2020)
RR
Pennsylvania(5/10/2021)
RR
South Carolina(7/21/2021)
RR
South Dakota(7/21/2021)
RR
Tennessee(7/21/2021)
RR
Texas(5/17/2019)
IAR
Texas(3/21/2024)
RR
Virginia(3/4/2022)
RR
Washington(9/25/2024)
RR
Wisconsin(5/17/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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
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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)
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.
