Richard Thomas

Current Employers

Cetera Investment Advisers Llc

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

Current Registrations

Authority	Category	Status	Date
NJ	RA	APPROVED	2016-12-23

NJ RA
APPROVED

Since 2016-12-23

Branch Locations

604-610 Laurel Ave, Point Pleasant, NJ 08742 • 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

Organization	City	State	From	To
Cetera Investment Services Llc	St. Cloud	MN	06/2001	Present
Cetera Investment Advisers Llc	Point Pleasant	NJ	12/2016	Present
The Provident Bank	Point Pleasant	NJ	06/2001	Present

06/2001 → Present

Cetera Investment Services Llc

St. Cloud, MN
12/2016 → Present

Cetera Investment Advisers Llc

Point Pleasant, NJ
06/2001 → Present

The Provident Bank

Point Pleasant, NJ

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-12-22
S63	Uniform Securities Agent State Law Examination	1993-02-11

S65 Uniform Investment Adviser Law Examination

1999-12-22
S63 Uniform Securities Agent State Law Examination

1993-02-11

View on SEC IAPD

Current Employers

Cetera Investment Advisers Llc

Disclosures

Employment History

Exams

Other Firms

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