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DOUGLAS R FALKINBURG
DOUG R FALKINBURG, DOUG RICHARD FALKINBURG
CRD#: 4341468
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 504 FAIRHOPE AVENUE
FAIRHOPE, AL 36532
CETERA INVESTMENT SERVICES LLCCRD#: 15340 25 WEST 1-65 SERVICE ROAD NORTH
MOBILE, AL 36608
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2010 - 2022 (12 years)2 FIRMS2022 - Present (2 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2007 - 2010 (2 years)BBANC OF AMERICA INVESTMENT SER... (CRD# 16361)2006 - 2007 (<1 year)BUVEST FINANCIAL SERVICES GROUP... (CRD# 13787)2006 - 2006 (<1 year)BWACHOVIA SECURITIES, LLC (CRD# 19616)2005 - 2006 (1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2001 - 2004 (3 years)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2009 - 2010 (1 year)IABANC OF AMERICA INVESTMENT SER... (CRD# 16361)2007 - 2007 (<1 year)IAMERRILL LYNCH PIERCE FENNER & ... (CRD# 7691)2004 - 2004 (<1 year)
License(s)

State Registrations

B
Alabama 8/10/2022

B
Louisiana 8/10/2022

IA
Alabama 8/10/2022

B
Mississippi 8/10/2022

B
Arkansas 12/15/2022

B
North Carolina 9/7/2022

B
Florida 8/10/2022

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)
504 FAIRHOPE AVENUE, FAIRHOPE, AL 36532
25 WEST 1-65 SERVICE ROAD NORTH, MOBILE, AL 36608
Registered with this firm since 8/10/2022

B
CETERA INVESTMENT SERVICES LLC (CRD#:15340)
25 WEST 1-65 SERVICE ROAD NORTH, MOBILE, AL 36608
504 FAIRHOPE AVENUE, FAIRHOPE, AL 36532
Registered with this firm since 8/10/2022

Previous Registration(s)
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IA
07/26/2010 - 08/10/2022 HANCOCK WHITNEY INVESTMENT SERVICES INC. (CRD#:40637) MOBILE, AL
B
07/26/2010 - 08/10/2022 HANCOCK WHITNEY INVESTMENT SERVICES INC. (CRD#:40637) MOBILE, AL
IA
01/09/2009 - 01/08/2010 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PENSACOLA, FL
B
10/04/2007 - 01/08/2010 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
IA
03/16/2007 - 10/11/2007 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) HILTON HEAD, SC
B
11/30/2006 - 10/11/2007 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) HILTON HEAD, SC
B
10/19/2006 - 11/08/2006 UVEST FINANCIAL SERVICES GROUP, INC. (CRD#:13787) HILTON HEAD, SC
B
03/28/2005 - 08/17/2006 WACHOVIA SECURITIES, LLC (CRD#:19616) HILTON HEAD, SC
IA
09/01/2004 - 10/05/2004 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) PLAINSBORO, NJ
B
03/01/2001 - 10/05/2004 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
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Broker
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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.