Dale E Hohlbaugh

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

• 05/2009 → 09/2022
  First Allied Securities, Inc.
  San Diego, CA
• 07/2012 → 11/2020
  First Allied Advisory Services, Inc.
  Chesterfield, MO
• 11/2020 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 09/2022 → Present
  Cetera Advisors Llc
  St Cloud, MN

Previous Registrations

• 2012-07-02 → 2020-11-12
  First Allied Advisory Services, Inc.
  North Canton, OH
• 2009-06-01 → 2012-07-02
  First Allied Securities, Inc.
  San Diego, CA
  North Canton, OH
  San Diego, CA
• 2004-01-21 → 2009-05-28
  Citigroup Global Markets Inc.
  Fairlawn, OH
  Akron, OH
• 1999-07-19 → 2004-01-22
  Morgan Stanley Dw Inc.
  Canton, OH

Other Businesses

DH CAPITAL MANAGEMENT; DBA; FINANCIAL SERVICES; OWNER; START DATE 05/22/2009. 26 DAYS; 230 HOURS PER MONTH - 20 DAYS; 130 HOURS DURING MARKET HOURS ARE SPENT ON THE BUSINESS.

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-06-29
• S63 Uniform Securities Agent State Law Examination
  1984-04-19

Other Names

• Dale Edward Hohlaugh