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Thomas Floyd Fuller

Cetera Investment Advisers LLC

Nashville, TN

CRD 1769170

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Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
TN RA APPROVED 2024-03-21
TX RA APPROVED 2024-03-21
  • TN RA
    APPROVED
    Since 2024-03-21
  • TX RA
    APPROVED
    Since 2024-03-21

Branch Locations

Nashville, TN • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Cetera Advisors Llc Denver CO 01/2013 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
Other Businesses

1. FIXED INSURANCE AGENT

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-11-21
S63 Uniform Securities Agent State Law Examination 1988-01-12
  • S65 Uniform Investment Adviser Law Examination
    1994-11-21
  • S63 Uniform Securities Agent State Law Examination
    1988-01-12
Other Names
  • Tom Fuller
  • Thomas F Fuller

View on SEC IAPD

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