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Douglas Becker

Cetera Investment Advisers LLC
34 Years of Experience
Hanover, PA
3 DisclosuresBroker
View SEC Summary
View SEC Summary

Douglas Becker is a registered investment advisor at Cetera Investment Advisers LLC, based in Hanover, PA, with 34 years of industry experience. Douglas is also registered as a broker, so some compensation may come from commissions on products sold. Their firm serves 813,961 clients with $260B in assets under management.

Cetera Investment Advisers LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10471 advisors
IM Fee
Planning only
Assets Under Management
$256.8B

Location

40 York Street, Hanover, PA, 17331

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History

Regulatory History (3)
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Customer Dispute
December 2016
Closed-No Action
Customer Dispute
February 2014
Pending
Employment Separation After Allegations
April 1994
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Douglas is a registered tax preparer, spending about half his time during tax season. He also serves as a trustee for Homewood Retirement Centers, manages Hanover Capital Management Inc, is a member of Five Points Hanover LLC (real estate leasing), and is a partner at HCM Wealth Advisory Group, LLC.

Employment History
Current Registrations
Cetera Investment Advisers LLC
June 2023 - Present · 3 yrs 4 mos
Cetera Wealth Services, LLCBroker
September 2019 - Present · 7 yrs 1 mo
Previous Registrations
Cetera Advisor Networks LLC
March 2021 - June 2023 · 2 yrs 3 mos
Summit Financial Group INC
December 2013 - May 2021 · 7 yrs 5 mos
Summit Brokerage Services, INC.Broker
August 2009 - September 2019 · 10 yrs 1 mo
Mutual Service CorporationBroker
August 2002 - August 2009 · 7 yrs
H. Beck, INC.Broker
December 2001 - August 2002 · 8 mos
Princor Financial Services CorporationBroker
January 1998 - December 2001 · 3 yrs 11 mos
1st Global Capital CORP.Broker
May 1994 - February 1998 · 3 yrs 9 mos
Mimlic Sales CorporationBroker
June 1992 - April 1994 · 1 yr 10 mos
State Registrations11 states
CACODEFLGAMDNYPASCTXVA
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
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