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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas William Lafay is an Investment Advisor Representative with Cetera Investment Advisers LLC. Douglas has over 20 years of experience in the financial services industry, holding licenses in 18 states, He is a Series 7, 6, 63 and 65 licensed individual, and holds a Series 24 and 26 principal license. Douglas has worked with Cetera Investment Advisers LLC since 2024, previously holding positions with CADARET, GRANT & CO., INC., FRANKLIN TEMPLETON FINANCIAL SERVICES CORP., FRANKLIN/TEMPLETON DISTRIBUTORS, INC., CHARTER ONE SECURITIES, INC., M&T SECURITIES, INC., EQUITY SERVICES, INC., and CITICORP INVESTMENT SERVICES. Douglas's firm manages over $100 billion in client assets, with a focus on serving individuals, corporations, pension and profit sharing plans, charitable organizations, and other investment advisors. Douglas specializes in financial planning, pension consulting, educational seminars, and selection of other advisors.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
NY
07/24/2024 - Present
Cetera Investment Advisers LLC (EAST CONCORD NY)
NY
10/05/2020 - 07/26/2024
CADARET, GRANT & CO., INC. (EAST CONCORD NY)
CA
06/06/2019 - 10/13/2020
FRANKLIN TEMPLETON FINANCIAL SERVICES CORP. (SAN MATEO CA)
CA
05/10/2006 - 10/13/2020
FRANKLIN/TEMPLETON DISTRIBUTORS, INC. (SAN MATEO CA)
OH
07/22/2004 - 12/01/2005
CHARTER ONE SECURITIES, INC. (CLEVELAND OH)
MD
08/02/2001 - 06/29/2004
M&T SECURITIES, INC. (BALTIMORE MD)
VT
07/06/2000 - 07/25/2001
EQUITY SERVICES, INC. (MONTPELIER VT)
NY
04/26/2000 - 05/09/2000
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
IA
Issued 10/20/2020
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/28/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/13/2004
Series 24 - General Securities Principal Examination
BC
Issued 09/19/2000
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/05/2004
Series 7 - General Securities Representative Examination
BC
Issued 02/10/2000
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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