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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
PA RA APPROVED 2024-03-21
TX RA APPROVED_RES 2024-03-21
  • PA RA
    APPROVED
    Since 2024-03-21
  • TX RA
    APPROVED_RES
    Since 2024-03-21

Branch Locations

602 Baldwin Street, Bridgeville, PA 15017 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Investors Capital Corporation Lynnfield MA 08/2001 10/2016
Cetera Advisors Llc Denver CO 10/2016 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
  • 08/2001 → 10/2016
    Investors Capital Corporation
    Lynnfield, MA
  • 10/2016 → Present
    Cetera Advisors Llc
    Denver, CO
  • 03/2024 → Present
    Schaumburg, IL
Previous Registrations
  • 2005-01-10 → 2016-10-03
    Investors Capital Corp.
    Lynnfield, MA
    Bridgeville, PA
    Lynnfield, MA
    Greenville, SC
    Lynnfield, MA
  • 2003-03-26 → 2004-12-31
    Eastern Point Advisors Inc.
    Pittsburgh, PA
Other Businesses

1) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERD LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 9/2016, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF TRADING HOURS PER WEEK: 32.5, POSITION/TITLE/RELATIONSHIP: AGENT, BRIEF DESCRIPTION OF DUTIES: LIFE, HEALTH, DISABILITY, ANNUITIES, AND LONG TERM CARE; 2) NAME OF OTHER BUSINESS: THOMAS DRUCIS, INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERD LOCATION, NATURE OF BUSINESS: REAL ESTATE RENTAL, START DATE: 1/2013, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF TRADING HOURS PER WEEK: 1, POSITION/TITLE/RELATIONSHIP: OWNER, BRIEF DESCRIPTION OF DUTIES: COLLECT RENT; 3) NAME OF OTHER BUSINESS: NONE, INVESTMENT RELATED: NO, ADDRESS: SAME AS RESIDENTIAL LOCATION, NATURE OF BUSINESS: COMIC BOOKS, START DATE: 200, APX NUMBER OF HOURS PER WEEK: 4, APX NUMBER OF TRADING HOURS PER WEEK: 4, POSITION/TITLE/RELATIONSHIP: SALES, BRIEF DESCRIPTION OF DUTIES: BUY, SELL, SHIP COMIC BOOKS; 4) NAME OF OTHER BUSINESS: AMERICAN EQUITY SERVICES CORP, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 1991, APX NUMBER OF HOURS PER WEEK: 4, APX NUMBER OF TRADING HOURS PER WEEK: 4, POSITION/TITLE/RELATIONSHIP: OWNER, BRIEF DESCRIPTION OF DUTIES: DBA FOR SALE OF FIXED INSURANCE;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-11-18
S63 Uniform Securities Agent State Law Examination 1992-01-14
  • S65 Uniform Investment Adviser Law Examination
    2002-11-18
  • S63 Uniform Securities Agent State Law Examination
    1992-01-14
Other Names
  • Thomas H Drucis

View on SEC IAPD

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