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Douglas Edward Riedl

Cetera Investment Advisers LLC

Lena, IL

CRD 3165287

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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:

Current Employers
Cetera Investment Advisers Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2022-07-27
IL RA APPROVED 2017-08-29
  • TX RA
    APPROVED_RES
    Since 2022-07-27
  • IL RA
    APPROVED
    Since 2017-08-29

Branch Locations

102 West Main Street, Lena, IL 61048 • United States

Disclosures

1 disclosure category 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 No
Employment History
OrganizationCityStateFromTo
Guardian Life Insurace Co. Of America New York NY 03/1997 Present
Tower Financial Group Limited Warren IL 01/2000 Present
Citizens State Bank Lena IL 01/2000 Present
Cetera Investment Services Llc St. Cloud MN 01/2000 Present
Cetera Investment Advisers Llc Lena IL 08/2017 Present
  • 03/1997 → Present
    Guardian Life Insurace Co. Of America
    New York, NY
  • 01/2000 → Present
    Tower Financial Group Limited
    Warren, IL
  • 01/2000 → Present
    Citizens State Bank
    Lena, IL
  • 01/2000 → Present
    Cetera Investment Services Llc
    St. Cloud, MN
  • 08/2017 → Present
    Lena, IL
Other Businesses

"1.)TO INFORM YOU ABOUT PART TIME WORK I AM DOING WITH TOWER FINANCIAL GROUP LTD. THE ADDRESS IS 5433 1/2 EAST STAGECOACH TRAIL, APPLE RIVER, IL 61001. THE PHONE NUMBER IS 815-594-2200. MY JOB DUTIES ARE TECHNICAL ADVISING ON COMPUTER RELATED ISSUES AND SOME CLERICAL. I WORK ON AN AS NEEDED BASIS. 2.)CITIZENS STATE BANK, ASSISTANT TRUST OFFICER, ALL TRUST ACCOUNTS THROUGH PRIMEVEST." 3.) BANQUET CHAIRMAN FOR PHEASANTS FOREVER, FACILITATING AND ASSIGNING DUTIES FOR FUND RAISING BANQUET ANNUALLY- (2)LAWN MAINTENANCE/UP-KEEP AND CARRIAGE DRIVER FOR WEDDINGS.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-07-25
S63 Uniform Securities Agent State Law Examination 2000-01-18
  • S66 Uniform Combined State Law Examination
    2017-07-25
  • S63 Uniform Securities Agent State Law Examination
    2000-01-18
Other Names
  • Douglas Riedl
  • Douglas Edward Reiedl

View on SEC IAPD

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