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Thomas Joseph Brown

Cetera Investment Advisers LLC

Colorado Springs, CO

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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
CO RA APPROVED 2024-03-21
  • CO RA
    APPROVED
    Since 2024-03-21

Branch Locations

Colorado Springs, CO • 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 Wealth Services, Llc El Segundo CA 02/2013 Present
Cetera Financial Specialists Llc Schaumburg IL 02/2013 Present
Cetera Investment Services Llc Saint Cloud MN 02/2013 Present
Vsr Financial Services Overland Park KS 04/2015 11/2016
Girard Securities Inc San Diego CA 04/2015 11/2017
Investors Capital Corp Lynnfield MA 04/2015 11/2016
Legend Equities Corporation Palm Beach Gardens FL 04/2015 12/2016
First Allied Securities, Inc. San Diego CA 04/2015 09/2022
Summit Brokerage Services, Inc. Boca Raton FL 04/2015 Present
Cetera Advisors Llc Greenwood Village CO 09/2022 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
  • 01/2013 → Present
    Cetera Advisors Llc
    Denver, CO
  • 02/2013 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 02/2013 → Present
    Cetera Financial Specialists Llc
    Schaumburg, IL
  • 02/2013 → Present
    Cetera Investment Services Llc
    Saint Cloud, MN
  • 04/2015 → 11/2016
    Vsr Financial Services
    Overland Park, KS
  • 04/2015 → 11/2017
    Girard Securities Inc
    San Diego, CA
  • 04/2015 → 11/2016
    Investors Capital Corp
    Lynnfield, MA
  • 04/2015 → 12/2016
    Legend Equities Corporation
    Palm Beach Gardens, FL
  • 04/2015 → 09/2022
    First Allied Securities, Inc.
    San Diego, CA
  • 04/2015 → Present
    Summit Brokerage Services, Inc.
    Boca Raton, FL
  • 09/2022 → Present
    Cetera Advisors Llc
    Greenwood Village, CO
  • 03/2024 → Present
    Cetera Investment Advisers Llc
    Schaumburg, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-07-03
  • S66 Uniform Combined State Law Examination
    2006-07-03

View on SEC IAPD

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