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DOUGLAS WILFORD COLE
CRD#: 1037963
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 19420 N 59TH AVE BLDG C STE 261
GLENDALE, AZ 85308
CETERA ADVISORS LLCCRD#: 10299 19420 N 59TH AVE BLDG C STE 261
GLENDALE, AZ 85308
Registration History
1985199019952000200520102015202020252 FIRMS2009 - 2010 (1 year)IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2024 - Present (<1 year)BCETERA ADVISORS LLC (CRD# 10299)2014 - Present (10 years)BAIG FINANCIAL ADVISORS, INC. (CRD# 133763)2005 - 2008 (3 years)BSUNAMERICA SECURITIES, INC. (CRD# 20068)1992 - 2005 (13 years)BANCHOR NATIONAL FINANCIAL SERV... (CRD# 5774)1989 - 1992 (2 years)BROYAL ALLIANCE ASSOCIATES, INC. (CRD# 23131)1989 - 1989 (<1 year)BINTEGRATED RESOURCES EQUITY CO... (CRD# 6403)1984 - 1989 (5 years)BINVESTMENT MANAGEMENT & RESEAR... (CRD# 6694)1982 - 1984 (2 years)IACETERA ADVISORS LLC (CRD# 10299)2014 - 2024 (9 years)IAWEALTH MANAGEMENT INTERNATIONA... (CRD# 153146)2010 - 2014 (3 years)
Disclosure(s)
View By:
6/22/2010
Judgment / Lien
8/10/2009
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 8/28/2014

B
Idaho 9/2/2014

IA
Arizona 3/21/2024

B
Indiana 4/1/2024

B
California 1/3/2020

IA
Indiana 4/1/2024

B
Colorado 4/22/2015

B
Maine 6/29/2022

B
District of Columbia 4/30/2021

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
19420 N 59TH AVE BLDG C STE 261, GLENDALE, AZ 85308
950 W ELLIOT RD, SUITE 126, TEMPE, AZ 85284
Registered with this firm since 3/21/2024

B
CETERA ADVISORS LLC (CRD#:10299)
19420 N 59TH AVE BLDG C STE 261, GLENDALE, AZ 85308
7025 N SCOTTSDALE RD STE 115 & 110, SCOTTSDALE, AZ 85253
Registered with this firm since 7/31/2014

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
09/23/2014 - 03/21/2024 CETERA ADVISORS LLC (CRD#:10299) MESA, AZ
IA
06/02/2010 - 05/14/2014 WEALTH MANAGEMENT INTERNATIONAL, LTD. (CRD#:153146) PEORIA, AZ
IA
06/18/2009 - 09/14/2010 THE PLANNERS NETWORK, INC. (CRD#:108355) PEORIA, AZ
B
01/02/2009 - 04/26/2010 NATIONAL PLANNING CORPORATION (CRD#:29604) PHOENIX, AZ
B
10/31/2005 - 12/31/2008 AIG FINANCIAL ADVISORS, INC. (CRD#:133763) PHOENIX, AZ
B
05/19/1992 - 10/31/2005 SUNAMERICA SECURITIES, INC. (CRD#:20068) PHOENIX, AZ
B
12/13/1989 - 05/19/1992 ANCHOR NATIONAL FINANCIAL SERVICES, INC. (CRD#:5774)
B
11/19/1989 - 12/15/1989 ROYAL ALLIANCE ASSOCIATES, INC. (CRD#:23131) SCOTTSDALE, AZ
B
09/07/1984 - 11/19/1989 INTEGRATED RESOURCES EQUITY CORPORATION (CRD#:6403)
B
06/23/1982 - 09/10/1984 INVESTMENT MANAGEMENT & RESEARCH, INC (CRD#:6694)
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.