TrueAdvisor
TrueAdvisor
MD
MD

Mark Douglas

Cetera Investment Advisers LLC
26 Years of Experience
Richmond, VA
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

Mark Douglas is a registered investment advisor at Cetera Investment Advisers LLC, based in Richmond, VA, with 26 years of industry experience. Mark 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

Richmond, VA

Get directions

History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
June 2010
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Mark is an independent insurance agent with Bowman Gaskins Financial Group, selling disability, fixed annuities, life, accident, and health insurance since 2000. This takes about full-time hours, weekdays only.

Employment History
Current Registrations
Cetera Investment Advisers LLC
June 2023 - Present · 3 yrs 4 mos
Cetera Wealth Services, LLCBroker
September 2013 - Present · 13 yrs 1 mo
Previous Registrations
Cetera Advisor Networks LLC
September 2013 - June 2023 · 9 yrs 9 mos
Walnut Street Securities, INC.
August 2003 - September 2013 · 10 yrs 1 mo
Walnut Street Securities, INC.Broker
August 2003 - September 2013 · 10 yrs 1 mo
Nathan & Lewis Securities, INC.
January 2001 - August 2003 · 2 yrs 7 mos
Nathan & Lewis Securities, INC.Broker
October 2000 - August 2003 · 2 yrs 10 mos
State Registrations8 states
CADCFLIDMDNCORVA
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.
More Advisors
More financial advisors in Richmond, VA →All financial advisors in Virginia →