DB
Douglas M. Bertke
CETERA INVESTMENT ADVISERS LLC
CELINA, OH 45822
Some features on this profile are disabled
CRD#: 5446244
DB
Professional summary
Douglas M Bertke is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Celina, Ohio and CETERA WEALTH SERVICES, LLC located in Celina, Ohio.
Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Douglas has worked at 6 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) MOORMAN HARTING FINANCIAL SERVICES POSITION: Financial Advisor NATURE: FNANCIAL SERVICES INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2007 DESCRIPTION: Provide financial services to clients. 2) CELINA-MERCER COUNTY CHAMBER OF COMMERCE POSITION: Treasurer NATURE: Celina Mercer Chamber of Commerce is a local business association with the goal of promoting and fostering it's local member businesses along with all businesses within the Celina/Mercer County Area. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2014 ADDRESS: 121 E Logan St, Celina OH 45822, United States DESCRIPTION: Will serve as treasurer. Responsible for monitoring income and expenses of organization, presenting financial statements to the board, signing some checks (amounts over $2,000). All accounts with signature authority include only cash and certificates of deposit. No securities accounts. 3) MERCER COUNTY REVOLVING LOAN REVIEW BOARD POSITION: Board Member NATURE: I will be one of several local business people serving as a volunteer on the board. Board members are responsible for approving business loans from the county revolving loan fund. INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 10/01/2020 ADDRESS: 101 N Main Street, Celina OH 45822, United States DESCRIPTION: Review of loan requests including financial documentation. Attend monthly meeting to discuss request and cast vote on whether loan application should be approved. 4) MOORMAN, HARTING & COMPANY; ACCOUNTANT; Accounting/CPA; NIR;10/01/2007;
CRS (Client Relationship Summary) - RIA
Click below to view Douglas M Bertke'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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 215 N. Main St, Celina, OH 45822RIA
CRD#: 105644
CELINA, OH
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 531 East Market Street, Celina, OH 45822BD
CRD#: 13572
CELINA, OH
Past
October 25, 2019 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Celina, OH
Past
October 25, 2019 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
CELINA, OH
Past
August 29, 2008 - October 25, 2019
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
CELINA, OH
Past
August 14, 2008 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
CELINA, OH
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
Arizona(9/5/2025)
RR
Indiana(9/5/2025)
RR
Ohio(9/5/2025)
IAR
Ohio(9/5/2025)
Exams
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
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)
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.
