HD
Ha T. Do
CETERA INVESTMENT ADVISERS
DULUTH, GA 30096
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CRD#: 7030480
HD
Ha Thi Thu DoCETERA INVESTMENT ADVISERS
Professional summary
Ha Thi Thu Do, who also goes by Ha T Do, Ha Do, Hana Do, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Duluth, Georgia and CETERA WEALTH SERVICES, LLC located in Duluth, Georgia.
Ha is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Ha has worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO and SIE exams.
Aliases
Ha T Do | Ha Do | Hana Do
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) NORTH STAR RESOURCE GROUP, FIXED INSURANCE POSITION: AGENT/BROKER NATURE: FIXED INSURANCE SALES INVESTMENT RELATED: NO NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 01/2023, ADDRESS: 2701 UNIVERSITY AVE SE, MINNEAPOLIS, MN, 55414: 2) VOLUNTEER AT BPSOS POSITION: Volunteer NATURE: VITA-Volunteer Income Tax Assistant INVESTMENT RELATED: No NUMBER OF HOURS: 16 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2022 ADDRESS: 6107 Oakbrook Pkwy, Norcross GA 30093, United States DESCRIPTION: Bpsos is a non-profit organization which is assigned by IRS to help qualified Vietnamese families to file tax return without fee. BPSOS needs volunteers with some education background to input the data to IRS portal, then they will be reviewed and submited by BPOSO's employees. All volunteers will take a IRS course of 6 hours before start. The work can be done virtually, in the evening or weekend. 3) NAME OF OTHER BUSINESS: DOSAMY RENTALS LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: REAL ESTATE RENTALS; START DATE: 10/2023; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: LLC FOR RENTAL PROPERTIES THAT RENT TO TENANTS: 4) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 08/2024; APX NUMBER OF HOURS PER WEEK: 3; APX NUMBER OF HOURS DURING TRADING HOURS: 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 5) NAME OF OTHER BUSINESS: GEORGIA VIETNAMESE AMERICAN CHAMBER OF COMMERCE; INVESTMENT RELATED: NO; ADDRESS: 4500 SATELLITE BLVD, SUITE 1140, DULUTH, GA 30096; NATURE OF BUSINESS: BOARD; START DATE: 9/2024; POSITION/TITLE/RELATIONSHIP: ELECTED BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: ATTEND BOARD MEETINGS, COORDINATE WITH OTHER MEMBERS TO ORGANIZE NETWORKING EVENTS; 6) NAME OF OTHER BUSINESS: NORTH STAR RESOURCE GROUP; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 8/2023, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Ha Thi Thu Do'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
August 10, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 3235 Satallite Blvd Bldg 400 St 300, Duluth, GA 30096RIA
CRD#: 105644
DULUTH, GA
Current
August 10, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 3235 Satellite Blvd Bldg 400 Suite 300, Duluth, GA 30096BD
CRD#: 13572
DULUTH, GA
Past
July 12, 2021 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
Duluth, GA
Past
April 23, 2021 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
Duluth, GA
Past
February 4, 2019 - April 19, 2021
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
NORCROSS, GA
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
California(8/10/2023)
RR
Florida(5/6/2025)
RR
Georgia(8/10/2023)
IAR
Georgia(8/10/2023)
RR
Tennessee(8/10/2023)
RR
Texas(8/10/2023)
IAR
Texas(8/10/2023)
Exams
What does exam status mean?
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Passed: 5/19/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Passed: 2/4/2019
Investment Company Products/Variable Contracts 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)Loading...
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
10,251
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 813,961 |
| AUM (Assets Under Management) | $ 256,813,748,739 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 |
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.
