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Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
VA RA APPROVED 2020-11-12
  • VA RA
    APPROVED
    Since 2020-11-12

Branch Locations

812 Moorefield Park Drive Suite 205, Richmond, VA 23236 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination Yes
Employment History
OrganizationCityStateFromTo
First Allied Securities, Inc. San Diego CA 11/2010 09/2022
First Allied Advisory Services, Inc. Chesterfield MO 07/2012 11/2020
Cetera Advisors Llc Richmond VA 09/2022 Present
Cetera Investment Advisers Llc Schaumburg IL 11/2020 Present
  • 11/2010 → 09/2022
    First Allied Securities, Inc.
    San Diego, CA
  • 07/2012 → 11/2020
    First Allied Advisory Services, Inc.
    Chesterfield, MO
  • 09/2022 → Present
    Cetera Advisors Llc
    Richmond, VA
  • 11/2020 → Present
    Schaumburg, IL
Previous Registrations
  • 2012-07-02 → 2020-11-12
    First Allied Advisory Services, Inc.
    Chesterfield, MO
    Richmond, VA
  • 2010-11-29 → 2012-07-02
    First Allied Securities, Inc.
    San Diego, CA
    Richmond, VA
  • 2008-03-18 → 2010-12-08
    Next Financial Group, Inc.
    Richmond, VA
    Houston, TX
  • 2006-05-04 → 2008-03-20
    Richmond, VA
    Richmond, VA
  • 2005-01-24 → 2006-05-08
    Tower Square Securities, Inc.
    Richmond, VA
  • 2001-01-01 → 2005-01-25
    Grove Point Investments, Llc
    Richmond, VA
Other Businesses

1.) ALEXANDER FINANCIAL SERVICES, INC.; AGENT; INSURANCE; START DATE 10/29/2014; 80 HOURS PER MONTH. 2.) ALEXANDER TAX ADVISORY GROUP LLC; MEMBER; NON-CPA ACCOUNTING OR TAX PREP; START DATE 1/1/2015; 80 HOURS PER MONTH. 3.) ALEXANDER FINANCIAL SERVICES; OWNER; DBA; START DATE 12/10/2010 4.) NAME OF OTHER BUSINESS: ST. BENEDICT'S CATHOLIC SCHOOL BOARD; INVESTMENT RELATED: NO; ADDRESS: 3100 GROVE AVENUE RICHMOND BRM, VA 23221; NATURE OF BUSINESS: BOARD; START DATE: 01/2017; POSITION/TITLE/RELATIONSHIP: MEMBER; APX NUMBER OF HOURS PER WEEK: 0.5; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: SCHOOL BOARD MEMBER. HELPING WITH THE ISSUES OF THE SCHOOL BOARD AND ON THE FINANCE COMMITTEE; 5.) ALEXANDER FINANCIAL SERVICES, INC.; EDUCATOR/TEACHING; EDUCATOR; START DATE 03/02/2019; 40 HOURS A MONTH. 6.) MANHATTAN RIDGE ADVISORS; ADVISOR; INSURANCE; START DATE: 3/1/2021; 160 HOURS PER MONTH.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-09-25
S63 Uniform Securities Agent State Law Examination 1992-08-26
  • S65 Uniform Investment Adviser Law Examination
    1998-09-25
  • S63 Uniform Securities Agent State Law Examination
    1992-08-26
Other Names
  • Doug Alexander

View on SEC IAPD

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