Thomas William Pollock

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

• 09/2015 → 06/2020
  Ubs Financial Services, Inc.
  Stuart, FL
• 07/2020 → 10/2020
  Unemployed
  Port Saint Lucie, FL
• 10/2020 → 01/2025
  Alpha Beta Gamma Wealth Management
  Palm Beach Gardens, FL
• 01/2025 → 09/2025
  Avantax Advisory Services
  Port Saint Lucie, FL
• 01/2025 → Present
  Brendon Pierson Inc
  Port Saint Lucie, FL
• 01/2025 → 09/2025
  Avantax Insurance Agency Llc
  Port Saint Lucie, FL
• 04/2025 → 09/2025
  Avantax Investment Services Inc.
  Port Saint Lucie, FL
• 07/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 09/2025 → Present
  Cetera Wealth Services, Llc
  Neptune, NJ
• 09/2025 → Present
  Cetera Investment Advisers Llc
  Neptune, NJ

Previous Registrations

• 2025-01-20 → 2025-09-05
  Avantax Advisory Services
  Neptune, NJ
  Port Saint Lucie, FL
  Dallas, TX
  Wall Township, NJ
• 2021-01-08 → 2025-01-03
  Alpha Beta Gamma Wealth Management
  Palm Beach Gardens, FL
• 2016-01-05 → 2020-07-30
  Ubs Financial Services Inc.
  Stuart, FL
  Palm Beach Gardens, FL
  Stuart, FL

Other Businesses

1) BRENDON PIERSON INC. POSITION: Financial Advisor NATURE: -Work closely with clients to plan, protect, and grow their financial well-being by providing financial planning, tax planning, and investment guidance INVESTMENT RELATED: Yes NUMBER OF HOURS: 60 SECURITIES TRADING HOURS: 50 START DATE: 01/13/2025 ADDRESS: 4814 Outlook Drive, Suite 100, Wall NJ 07753 DESCRIPTION: -Investment Research-Financial Planning-Client Management-Tax Planning-Portfolio Construction

Exams

• S63 Uniform Securities Agent State Law Examination
  2025-05-29
• S66 Uniform Combined State Law Examination
  2016-01-04

Designations

• Certified Financial Planner

Other Names

• Thomas William Pollock
• Thomas William Pollock
• Thomas Pollock