Douglas C Lake

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

Authority	Category	Status	Date
NY	RA	APPROVED	2021-03-31
NJ	RA	APPROVED	2019-06-20

NY RA
APPROVED

Since 2021-03-31
NJ RA
APPROVED

Since 2019-06-20

Branch Locations

485 Us Highway 1 South Bldg C; Suite 120, Iseline, NJ 08830 • United States

Yaphank, NY • 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

Organization	City	State	From	To
Foresters Financial	New York	NY	01/2011	06/2019
Foresters Advisory Services Llc	New York	NY	09/2013	06/2019
Cetera Investment Services Llc	St Cloud	MN	06/2019	Present
Cetera Investment Advisers Llc	Iselin	NJ	06/2019	Present

01/2011 → 06/2019

Foresters Financial

New York, NY
09/2013 → 06/2019

Foresters Advisory Services Llc

New York, NY
06/2019 → Present

Cetera Investment Services Llc

St Cloud, MN
06/2019 → Present

Cetera Investment Advisers Llc

Iselin, NJ

Previous Registrations

2013-11-08 → 2019-06-24

Foresters Advisory Services, Llc

New York, NY

New York, NY

Other Businesses

1) FINANCE COMMITTEE MEMBER FOR SAINTS PETERS & PAUL CHURCH, DOES NOT PLACE OR HANDLE SECURITIES TRANSACTIONS NOR RECOMMEND SPECIFIC SECURITIES TRANSACTIONS NOR MAKE INVESTMENT DECISIONS, 3/HRS/QUARTER 2) DIRECTOR AND BOARD MEMBER OF KIWANIS FOUNDATIONS OF HICKSVILLE: KIWANIS CLUB OF HICKSVILLE INC.; ASSIST OTHER MEMBERS IN THE ORGANIZATION TO PROVIDE VOLUNTEER SERVICES IN THE COMMUNITY

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2013-08-30
S63	Uniform Securities Agent State Law Examination	1986-01-23

S66 Uniform Combined State Law Examination

2013-08-30
S63 Uniform Securities Agent State Law Examination

1986-01-23

View on SEC IAPD