Douglas Neiman is a registered investment advisor at Cetera Investment Advisers LLC, based in Somers, CT, with 33 years of industry experience. Douglas operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Location
Somers, CT
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Douglas owns an online sales business since 2022, selling used goods such as tools and sporting goods. He spends minimal time on this activity, including during trading hours.
Employment History
Current Registrations
Cetera Investment Advisers LLC
Cetera Advisors LLC
Cetera Financial Specialists LLC
Cetera Investment Services LLC
Cetera Advisors LLCBroker
Cetera Financial Specialists LLCBroker
Cetera Investment Services LLCBroker
Cetera Wealth Services, LLC
Cetera Wealth Services, LLCBroker
Previous Registrations
First Allied Securities, INC.Broker
Cetera Advisor Networks LLC
Voya Financial Advisors, INC.
Voya Financial Advisors, INC.Broker
Essex Securities LLCBroker
MML Investors Services, LLCBroker
Veravest Investments, INC.Broker
Valhalla Securities, INC.Broker
Hambrecht & Quist LLCBroker
Advest, INC.Broker
State Registrations52 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.