Douglas Nash Lindley

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

• 03/2013 → Present
  Cetera Advisors Llc
  Denver, CO
• 03/2024 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2007-10-30 → 2013-03-28
  Woodbury Financial Services, Inc.
  Dayton, OH
  Columbus, OH
  Dayton, OH
• 2006-01-09 → 2007-11-05
  Equitable Advisors, Llc
  Dayton, OH
  Dayton, OH

Other Businesses

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 02/2013 APX NUMBER OF HOURS PER WEEK: 0 APX NUMBER OF HOURS DURING TRADING HOURS: 0 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, DISABILITY, ANNUITIES AND LONG TERM CARE 2. NAME OF OTHER BUSINESS: PEAK ADVISORY GROUP; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: DBA FOR FINANCIAL SERVICES; START DATE: 03/2018; POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: INVESTMENT ADVICE AND FINANCIAL PLANNING; 3.DAYTON WEALTH MANAGEMENT, LLC, NOT INVESTMENT RELATED, ADDRESS IS THE REGISTERED LOCATION, LEGAL ENTITY FOR PAYROLL EXPENSES, START JUNE 2014, 1 HOUR PER WEEK - VARIES DURING TRADING HOURS, PARTNER/CO-OWNER. 4. NAME OF OTHER BUSINESS: JUNTO INVESTMENT RELATED: NO ADDRESS: 3075 GOVERNORS PLACE BLVD. SUITE 200 DAYTON, OHIO 45409 NATURE OF BUSINESS: NETWORKING START DATE: 01/31/2016 POSITION/TITLE/RELATIONSHIP: TREASURER APX NUMBER OF HOURS PER WEEK: ONE HALF HOUR APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: TREASURER, COLLECT DUES FROM EACH MEMBER ON A QUARTERLY BASIS AND PAY EXPENSES THROUGH GROUP'S CHECKING ACCOUNT. 5. NAME OF OTHER BUSINESS: PROSPERITY TAX CENTER, LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: TAX PREPARATION; START DATE: 09/2023; POSITION/TITLE/RELATIONSHIP: REFERER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: NO DUTIES, MAY REFER CLIENTS TO CPA OF COMPANY FOR SERVICE; 6. NAME OF OTHER BUSINESS: PROSPERITY ADVISORS, LLC ; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 09/2023; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-12-28
• S63 Uniform Securities Agent State Law Examination
  1999-06-08