Tom Toshiyuki Teraoka

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/1991 → Present
  Teraoka & Company
  Huntington Beach, CA
• 11/2003 → 10/2019
  1St Global Capital Corp.
  Huntington Beach, CA
• 01/2004 → 09/2025
  Avantax Insurance Services
  Huntington Beach, CA
• 05/2005 → 10/2019
  1St Global Advisors, Inc.
  Huntington Beach, CA
• 10/2019 → 09/2025
  Avantax Advisory Services
  Huntington Beach, CA
• 10/2019 → 09/2025
  Avantax Investment Services, Inc.
  Huntington Beach, CA
• 09/2025 → Present
  Cetera Wealth Services, Llc
  Huntington Beach, CA
• 09/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2019-10-25 → 2025-09-05
  Avantax Advisory Services
  Huntington Beach, CA
• 2005-05-04 → 2019-10-25
  1St Global Advisors Inc
  Huntington Beach, CA
• 2002-08-21 → 2003-09-22
  Avantax Advisory Services
  Hunting Beach, CA

Other Businesses

1) TERAOKA WEALTH MANAGEMENT, LLC POSITION: OWNER NATURE: PRESIDENT INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 07/01/2011 ADDRESS: Huntington Beach CA , United States DESCRIPTION: Provide financial services to clients 2) LE TIP INTERNATIONAL POSITION: PAST PRESIDENT STILL PART OF THE BOARD NATURE: LEADS GROUP INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 1 START DATE: 01/01/1984 ADDRESS: Huntington Beach CA , United States DESCRIPTION: CONSULTANT TO GROUP ON HOW TO MAKE ORGANIZATION GROW 3) TERAOKA & COMPANY POSITION: OTHER - OWNER NATURE: CPA firm INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 06/01/1991 DESCRIPTION: CPA firm 4) REAL ESTATE-RENTAL POSITION: OWNER NATURE: RENTAL REAL ESTATE INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: DESCRIPTION: Real estate rental 5)INVESTMENT CLUB; MEMBER; INVESTMENT CLUB; IR; 0; 01/01/2004;

Exams

• S66 Uniform Combined State Law Examination
  2004-11-06
• S63 Uniform Securities Agent State Law Examination
  1996-10-18

Other Names

• Tom Toshiyuki Teraoka