DG
Douglas W. Garone
CETERA INVESTMENT ADVISERS LLC
OKLAHOMA CITY, OK 73118
Some features on this profile are disabled
CRD#: 6734946
DG
Professional summary
Douglas Wade Garone, who also goes by Doug Garone, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Oklahoma City, Oklahoma and CETERA INVESTMENT SERVICES LLC located in Oklahoma City, Oklahoma.
Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. 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
Doug Garone
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. 9/13/2021 - THE DOUGLAS WADE GARONE AND ELIZABETH KEMP GARONE LIVING TRUST - Not Investment Related - Act in a Fiduciary Capacity - Started 6.12.2012 - Time Spent 1% - Fiduciary on the investment accounts for self and wife. 2. 10/6/2021 - Regent Financial Services, Inc. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 08/08/2021 - 10 Hours Per Month/0 Hours During Securities Trading. 3. 10/12/2021 - Drawbridge Capital, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 10/08/2021 - 10 Hours Per Month/2 Hours During Securities Trading - I provide investment advisory services through Drawbridge Capital, LLC, an independent investment advisor firm. I started this business activity in 10/2021. I expect to spend approximately 10 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4. 10/27/2021 - Trifecta Bricks, LLC - Investment Related - E-commerce only/Home Based - Other-Business Owner - Sole Owner - Started 08/08/2021 - 10 Hours Per/0 Hours Month During Securities Trading - Online e-commerce store for minor kids to sell modular toy parts.
CRS (Client Relationship Summary) - RIA
Click below to view Douglas Wade Garone'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
October 16, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 501 Nw Grand Blvd, Oklahoma City, OK 73118RIA
CRD#: 105644
OKLAHOMA CITY, OK
Current
October 16, 2025 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 501 Nw Grand Blvd, Oklahoma City, OK 73118BD
CRD#: 15340
Oklahoma City, OK
Past
September 23, 2021 - October 10, 2025
DRAWBRIDGE CAPITAL
RIA
CRD#: 128636
TULSA, OK
Past
September 13, 2021 - October 17, 2025
LPL FINANCIAL LLC
BD
CRD#: 6413
EDMOND, OK
Past
December 11, 2019 - August 31, 2021
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
OKLAHOMA CITY, OK
Past
November 26, 2019 - August 31, 2021
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
OKLAHOMA CITY, OK
Past
July 21, 2017 - May 8, 2019
EDWARD JONES
RIA
CRD#: 250
EDMOND, OK
Past
March 14, 2017 - May 8, 2019
EDWARD JONES
BD
CRD#: 250
EDMOND, OK
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
Oklahoma(10/16/2025)
IAR
Oklahoma(10/16/2025)
RR
Texas(10/16/2025)
IAR
Texas(10/17/2025)
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
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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.
