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Douglas M Bertke

CETERA INVESTMENT ADVISERS
CELINA, OH
·CRD# 5446244·18 years experience

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.

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

18 years in the financial services industry

Current & Past Employments

CETERA INVESTMENT ADVISERS LLC·CRD# 105644
RIA
215 N. Main St, Celina, OH 45822
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC·CRD# 13572
BD
531 East Market Street, Celina, OH 45822
September 5, 2025 - Present
AVANTAX ADVISORY SERVICES·CRD# 104556
RIA
Celina, OH
October 25, 2019 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.·CRD# 13686
BD
Celina, OH
October 25, 2019 - September 5, 2025
1ST GLOBAL ADVISORS INC·CRD# 111133
RIA
Celina, OH
August 29, 2008 - October 25, 2019
1ST GLOBAL CAPITAL CORP.·CRD# 30349
BD
Celina, OH
August 14, 2008 - October 25, 2019

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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 - SEC (1/13/1984 Approved)

Contact Information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Phone Number

(310) 257-7880

# of Employees

10,251

SEC notice filing (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory Assets Under Management

Total Number of Accounts

813,961

AUM (Assets Under Management)

$256,813,748,739

Accountant Surprise Examination Report

Filing DateForm ADV-E CoverForm ADV-E Report
09/25/2026Cover PageReport
10/27/2025Cover PageReport
12/13/2024Cover PageReport
09/26/2023Cover PageReport

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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;

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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 - SEC (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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Arizona
(9/5/2025)
RR
Florida
(11/11/2025)
RR
Indiana
(9/5/2025)
RR
Ohio
(9/5/2025)
IAR
Ohio
(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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Aug 2008About the Series 66 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Aug 2008About the Series 7 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - RIA

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

CRS (Customer Relationship Summary)

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DB
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