Frank A. Douglass
CETERA INVESTMENT ADVISERS LLC
LEXINGTON, SC 29072
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CRD#: 5577855
Professional summary
Frank A Douglass, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Lexington, South Carolina and CETERA WEALTH SERVICES, LLC located in Lexington, South Carolina.
Frank is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Frank has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 6 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) CPM Global Properties, LLC~217 Timbergate Drive~Lexington~SC~29073~Real Estate~Partner/General Partner~9/1/2017~4hrs~0hrs~This LLC was formed to purchase an office in partnership with my brother-in-law. The real estate closing is set for 9-11-17. 2) THE STANDARD - DISABILITY INSURANCE COMPANY POSITION: Agent NATURE: Disability Insurance company INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 03/16/2022 ADDRESS: 123-C Library Hill Lane, 1100 SW Sixth Avenue, Portland OR 97204-1093, United States DESCRIPTION: Agent for this company 3) DOUGLASS FINANCIAL, LLC POSITION: Owner/Sole Proprietor NATURE: Financial Planning and Tax Prep INVESTMENT RELATED: Yes NUMBER OF HOURS: 150 SECURITIES TRADING HOURS: 100 START DATE: 01/01/2009 ADDRESS: 123-C Library Hill Lane, Lexington SC 29072, United States DESCRIPTION: Assist clients with tax preparation as well as all aspects financial planning.
CRS (Client Relationship Summary) - RIA
Click below to view Frank A Douglass'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®
CFP®
Start date: 2006
Experience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 123-c Library Hill Lane, Lexington, SC 29072RIA
CRD#: 105644
LEXINGTON, SC
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 123-c Library Hill Lane, Lexington, SC 29072BD
CRD#: 13572
Lexington, SC
Past
January 12, 2009 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Lexington, SC
Past
October 14, 2008 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Lexington, SC
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
Colorado(9/5/2025)
RR
Florida(9/5/2025)
RR
Georgia(9/5/2025)
RR
North Carolina(9/5/2025)
RR
South Carolina(9/5/2025)
IAR
South Carolina(9/5/2025)
Exams
State Security Law Exam
General Industry/Product 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
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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
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Lexington, SC 29072TRUST BUT VERIFY
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