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Thomas Joseph Dufresne

Cetera Investment Advisers LLC

Minnetonka, MN

Saint Paul, MN

Minnetonka, MN

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Current Employers
Cetera Investment Advisers Llc

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

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2023-06-29
TX RA APPROVED_RES 2023-06-29
  • MN RA
    APPROVED
    Since 2023-06-29
  • TX RA
    APPROVED_RES
    Since 2023-06-29

Branch Locations

110 Cheshire Lane Suite 200, Minnetonka, MN 55305 • United States

400 Robert Street North Suite 800, Saint Paul, MN 55101 • United States

Minnetonka, MN • 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
Self-Employed Mpls MN 03/1991 Present
Lear Financial Inc. Minnetonka MN 01/1992 Present
Cetera Wealth Services, Llc El Segundo CA 01/2013 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 03/1991 → Present
    Self-Employed
    Mpls, MN
  • 01/1992 → Present
    Lear Financial Inc.
    Minnetonka, MN
  • 01/2013 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2023 → Present
    Cetera Investment Advisers Llc
    Schaumburg, IL
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1989-09-07
  • S63 Uniform Securities Agent State Law Examination
    1989-09-07

View on SEC IAPD

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Other Investors

MATTHEW DAVID OSENDORF
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RACHAEL MICHELLE PERAZA
GRANT RONALD FJOSNE
Sean M McCullough
David Douglas Roderick
GINGER RAE EWING
MICAH CHARLES BENWAY

Other Offices

MERCED CAPITAL, L.P. · MINNETONKA, MN
AMERIPRISE FINANCIAL SERVICES, LLC · Minnetonka, MN
CRESSET ASSET MANAGEMENT, LLC · MINNETONKA, MN
CAPTRUST · Minnetonka, MN
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC · MINNETONKA, MN
CRESSET ASSET MANAGEMENT, LLC · Minnetonka, MN
ORGEL WEALTH MANAGEMENT, LLC · Minnetonka, MN
ORGEL WEALTH MANAGEMENT, LLC · Minnetonka, MN

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