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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)20 years in industry

Douglas Marlow

Advisor at CETERA INVESTMENT ADVISERS LLC

HUNTERSVILLE, NC

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Search this name across graphsid dfx:ria:248fc50b-adf6-0627-9880-7847c3bfe45d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:54 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 0
Observed: Nov 7, 2006 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CETERA INVESTMENT ADVISERS LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 1, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner|Chartered Financial Consultant
Exams: S66|S63
First exam: Nov 6, 2006
First registration: Nov 7, 2006
Dual registered: yes, broker-dealer
Other names: Douglas Gregg Marlow
IAPD individual key: 1697807

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Sep 5, 2025	n/a	yes	HUNTERSVILLE, NC	Current employment
AVANTAX ADVISORY SERVICES	Former SEC adviser	Nov 27, 2023	Sep 5, 2025	no	DALLAS, TX\|HUNTERSVILLE, NC	Previous registration
STEPHENS CONSULTING, LLC	Former SEC adviser	Apr 29, 2022	May 3, 2023	no	HUNTERSVILLE, NC\|FLINT, MI	Previous registration
ALLY INVEST ADVISORS	Independent wealth	Aug 17, 2021	Apr 11, 2022	no	CHARLOTTE, NC	Previous registration
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	Jul 10, 2019	Mar 5, 2020	no	CHARLOTTE, NC	Previous registration
CUSO FINANCIAL SERVICES, L.P.	Former SEC adviser	Feb 5, 2018	Jun 14, 2019	no	Huntersville, NC\|Matthews, NC	Previous registration
ADVICE AND PLANNING SERVICES	Bd affiliated wealth	Nov 7, 2006	Apr 12, 2017	no	CHARLOTTE, NC\|CHARLOTTE, NC\|CHARLOTTE, NC\|CHARLOTTE, NC\|CHARLOTTE, NC	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
AVANTAX ADVISORY SERVICES	CETERA INVESTMENT ADVISERS LLC	Sep 5, 2025	Sep 5, 2025	0	Bulk transfer	Ibd to ibd
STEPHENS CONSULTING, LLC	AVANTAX ADVISORY SERVICES	May 3, 2023	Nov 27, 2023	208	Firm change	RIA to ibd
ALLY INVEST ADVISORS	STEPHENS CONSULTING, LLC	Apr 11, 2022	Apr 29, 2022	18	Firm change	RIA to RIA
FIDELITY PERSONAL AND WORKPLACE ADVISORS	ALLY INVEST ADVISORS	Mar 5, 2020	Aug 17, 2021	530	Firm change after gap	Ibd to RIA
CUSO FINANCIAL SERVICES, L.P.	FIDELITY PERSONAL AND WORKPLACE ADVISORS	Jun 14, 2019	Jul 10, 2019	26	Firm change	Ibd to ibd
ADVICE AND PLANNING SERVICES	CUSO FINANCIAL SERVICES, L.P.	Apr 12, 2017	Feb 5, 2018	299	Firm change	Other

Relationships

Registered with (7)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Sep 5, 2025 to presentfactForm ADV
→ AVANTAX ADVISORY SERVICESRegistered adviserregistration: previous registration
Nov 27, 2023 to Sep 5, 2025factForm ADV
→ STEPHENS CONSULTING, LLCRegistered adviserregistration: previous registration
Apr 29, 2022 to May 3, 2023factForm ADV
→ ALLY INVEST ADVISORSRegistered adviserregistration: previous registration
Aug 17, 2021 to Apr 11, 2022factForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
Jul 10, 2019 to Mar 5, 2020factForm ADV
→ CUSO FINANCIAL SERVICES, L.P.Registered adviserregistration: previous registration
Feb 5, 2018 to Jun 14, 2019factForm ADV
→ ADVICE AND PLANNING SERVICESRegistered adviserregistration: previous registration
Nov 7, 2006 to Apr 12, 2017factForm ADV

Dated events

Occurred
May 3, 2023
Advisor changed firm
Douglas Marlow left Stephens Consulting, Llc for Avantax Advisory Services (registered 2023-11-27)
Form ADVobserved 6 days ago
Occurred
Apr 11, 2022
Advisor changed firm
Douglas Marlow left Ally Invest Advisors for Stephens Consulting, Llc (registered 2022-04-29)
Form ADVobserved 6 days ago