CD
Colton L. Dooley
CETERA INVESTMENT ADVISERS LLC
MERIDIAN, MS 39301
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CRD#: 6511035
CD
Professional summary
Colton Lane Dooley, who also goes by Colton Lane Dooley, Colton Dooley, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Meridian, Mississippi and CETERA INVESTMENT SERVICES LLC located in Meridian, Mississippi.
Colton is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Colton has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Colton Lane Dooley | Colton Dooley
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. Jones Chapel Church of God; 5880 MS 145 Meridian MS 39301; Vice Chairman- Board of Finance; Conduct quarterly meetings in absence of the Chairman; 7/1/21; 3 hours per quarter; not during securities trading hours; not inv related 2. Jones Chapel Church of God; 5880 MS 145 Meridian MS 39301; Vice Chairman- Board of Trustees; Conduct quarterly meetings in absence of the Chairman; 7/1/21; 3 hours per quarter; not during securities trading hours; not inv related
CRS (Client Relationship Summary) - RIA
Click below to view Colton Lane Dooley'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
May 7, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 406 22nd Avenue, Meridian, MS 39301RIA
CRD#: 105644
MERIDIAN, MS
Current
May 7, 2024 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 406 22nd Avenue, Meridian, MS 39301BD
CRD#: 15340
Meridian, MS
Past
December 20, 2021 - May 16, 2024
STIFEL, NICOLAUS & COMPANY, INCORPORATED
RIA
CRD#: 793
MERIDIAN, MS
Past
November 17, 2021 - May 16, 2024
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
MERIDIAN, MS
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(5/7/2024)
RR
Florida(10/29/2024)
RR
Georgia(1/14/2025)
RR
Mississippi(5/7/2024)
IAR
Mississippi(5/7/2024)
RR
Tennessee(5/23/2024)
RR
Texas(5/23/2024)
IAR
Texas(5/24/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/17/2021
General Securities Representative ExaminationGeneral 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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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Meridian, MS 39301TRUST BUT VERIFY
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