DH
Don C. Hall
CETERA INVESTMENT ADVISERS LLC
JOHNSTOWN, PA 15901
Some features on this profile are disabled
CRD#: 823983
DH
Professional summary
Don Clay Hall II is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Johnstown, Pennsylvania and CETERA WEALTH SERVICES, LLC located in Johnstown, Pennsylvania.
Don is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Don has worked at 5 firms and has passed the Series 63, Series 22TO, Series 6TO, SIE, Series 7 and Series 1 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.
NAME OF ENTITY:WESTMONT BOROUGH COUNCIL; No; 1000 LUZERNE ST; JOHNSTOWN; PA; 15905; TOWN COUNCIL; PRESIDENT; 1/10/2001; 3; 0; FACILITATE DISCUSSION AND COMMUNICATIOIN BETWEEN COUNCILORS,PUBLIC AND EMPLOYEES|NAME OF ENTITY:Investment Advisor Representative; Yes; SAME AS REGISTERED LOCATION; Financial Planning; IAR; 2/15/2007; 180; 180; Financial Planning|NAME OF ENTITY: Independent Insurance Agent; Yes; SAME AS REGISTERED LOCATION; Fixed Insurance Sales; Independent Insurance Agent; 2/15/200D#7; 180; 180; Sales of Fixed Insurance Products|NAME OF ENTITY:Liberty Grace Bretheren Church; No; PO BOX 5228; JOHNSTOWN; PA; 15904; church; leadership team; 1/1/2008; 3; 3; on leadership team to teach and lead small groups within the church|NAME OF ENTITY: Centennial Financial Group, LLC; Yes; SAME AS REGISTERED LOCATION; Financial Services/DBA; owner; 2/1/1991; 160; 160; SALE & SERVICE FIXED INSURANCE,SECURITIES,INVESTMENT PRODUCTS.|NAME OF ENTITY:Greater Johnstown Water Authority; No; 640 Franklin St.; Johnstown; PA; 15901; water authority provides potable water to the citizens of Johnstown and surrounding neighborhoods; Chairman; 5/3/2018; 2; 1; facilitate meetings, set and run agenda, make decisions designed to be in the rate payer's interest|
CRS (Client Relationship Summary) - RIA
Click below to view Don Clay Hall II'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
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 227 Franklin Street Ste 302, Johnstown, PA 15901RIA
CRD#: 105644
JOHNSTOWN, PA
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 227 Franklin Street Ste 302, Johnstown, PA 15901BD
CRD#: 13572
Johnstown, PA
Past
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
JOHNSTOWN, PA
Past
January 1, 2004 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
JOHNSTOWN, PA
Past
January 1, 2004 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
JOHNSTOWN, PA
Past
April 25, 2002 - January 1, 2004
LOCUST STREET SECURITIES, INC.
RIA
CRD#: 1703
JOHNSTOWN, PA
Past
March 16, 1991 - January 1, 2004
LOCUST STREET SECURITIES, INC.
BD
CRD#: 1703
DES MOINES, IA
Past
October 13, 1982 - December 4, 1990
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
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(6/9/2021)
RR
Delaware(6/9/2021)
RR
Florida(2/6/2025)
RR
Maryland(6/9/2021)
RR
Massachusetts(3/14/2022)
RR
New York(6/9/2021)
RR
North Carolina(6/9/2021)
RR
Oregon(1/22/2025)
RR
Pennsylvania(6/9/2021)
IAR
Pennsylvania(6/29/2023)
RR
South Carolina(6/9/2021)
RR
Tennessee(9/18/2025)
RR
Virginia(6/9/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 6/22/1976
Registered Representative ExaminationSRO 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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
