Paul Raymond Dowd

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2011 → 08/2022
  Morningstar Investment Management Llc
  Chicago, IL
• 08/2022 → Present
  The Benefit Companies Inc.
  Bristol, IN
• 10/2022 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2011-05-09 → 2022-09-14
  Morningstar Investment Management Llc
  Chicago, IL
  Goshen, IN
• 2003-07-08 → 2008-04-04
  Dws Investment Management Americas, Inc.
  Chicago, IL
• 1998-07-06 → 2003-05-29
  Charles Schwab & Co., Inc.
  Chicago, IL

Other Businesses

1. NAME OF OTHER BUSINESS: THE BENEFIT COMPANIES INC.; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 08/2022; POSITION/TITLE/RELATIONSHIP: BUSINESS DEVELOPMENT DIRECTOR; APX NUMBER OF HOURS PER WEEK: 20; APX NUMBER OF HOURS DURING TRADING HOURS: 20; BRIEF DESCRIPTION OF DUTIES: ASSISTING IN DEVELOPING MARKETING AND SALES INITIATIVES FOR THE RETIREMENT PLANS DIVISION; 2. NAME OF OTHER BUSINESS: THE BENEFIT COMPANIES INC DBA BENETRAK, INC & BENEVEST, INC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: RETIREMENT PLAN SERVICES; START DATE: 05/2022; POSITION/TITLE/RELATIONSHIP: BUSINESS DEVELOPMENT DIRECTOR; APX NUMBER OF HOURS PER WEEK: 20; APX NUMBER OF HOURS DURING TRADING HOURS: 20; BRIEF DESCRIPTION OF DUTIES: ENGAGE WITH PROSPECTS TO ASSIST THEM IN ESTABLISHING NEW 401(K) PLANS FOR THEIR BUSINESS AND EXECUTING A PLAN ADVICE AND CONSULTING PROGRAM, PARTNER WITH PROVIDERS TO CREATE INVESTMENT MENUS AS WELL AS PARTICIPANT PROVISION FOR THE NEW PLANS; 3. NAME OF OTHER BUSINESS: TRAIL LIFE TROOP IN-0507; INVESTMENT RELATED: NO; ADDRESS: 415 NORTH BROOKFIELD STREET SOUTH BEND, IN 46628 NATURE OF BUSINESS: BOYS CLUB TROOP; START DATE: 09/2023; POSITION/TITLE/RELATIONSHIP: TREASURER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: COLLECT DUES, MAKE DEPOSITS, MAINTAIN RECORD OF WHO HAS PAID DUES, REIMBURSE EXPENSES ;

Exams

• S63 Uniform Securities Agent State Law Examination
  2023-01-27
• S65 Uniform Investment Adviser Law Examination
  2013-10-07