Individual Firm
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
ROBERT DOUGLAS HOWARD
DOUG HOWARD, ROBERT HOWARD
CRD#: 5199507
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 151 MAJOR REYNOLDS PLACE
KNOXVILLE, TN 37919
KNOXVILLE, TN 37919
CETERA INVESTMENT SERVICES LLCCRD#: 15340 151 MAJOR REYNOLDS PLACE
KNOXVILLE, TN 37919
KNOXVILLE, TN 37919
0
Disclosures
15
Years of Experience
View By:
State Registrations
B
Alabama 2/12/2013
B
Michigan 4/20/2015
B
Arizona 1/25/2016
B
Mississippi 2/12/2013
B
Arkansas 10/15/2013
B
Missouri 7/23/2013
B
California 10/15/2013
B
New Jersey 3/16/2016
B
Colorado 2/24/2016
B
New York 10/15/2013
B
Connecticut 4/21/2014
B
North Carolina 10/16/2013
B
Florida 2/12/2013
B
Ohio 10/15/2013
B
Georgia 5/8/2013
B
Oregon 2/24/2016
B
Idaho 4/8/2016
B
Pennsylvania 10/27/2015
B
Illinois 10/15/2013
B
South Carolina 10/15/2013
B
Indiana 10/15/2013
B
Tennessee 5/8/2013
B
Iowa 10/15/2013
IA
Tennessee 6/28/2021
B
Kansas 10/20/2015
B
Texas 5/8/2013
B
Kentucky 10/15/2013
IA
Texas 2/6/2018
B
Louisiana 5/8/2013
B
Virginia 10/15/2013
B
Maryland 11/30/2015
B
Wisconsin 7/29/2015
B
Massachusetts 8/14/2015
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 1/21/2014
B
Registered with this firm since 2/12/2013
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/12/2013 - 01/21/2014 | CHATTANOOGA, TN | |
IA | 03/09/2012 - 03/31/2012 | HOOVER, AL | |
B | 03/14/2012 - 03/31/2012 | MEMPHIS, TN | |
IA | 02/04/2008 - 12/13/2010 | HOOVER, AL | |
B | 02/04/2008 - 12/13/2010 | HOOVER, AL | |
IA | 10/25/2006 - 03/30/2007 | PACE, FL | |
B | 09/26/2006 - 03/30/2007 | PACE, FL |
For additional information about investment advisers or broker-dealers, please visit
B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.