Thomas James Nisivoccia

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

• 01/2013 → 12/2024
  Cetera Advisor Networks Llc
  El Segundo, CA
• 06/2023 → 12/2024
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 12/2024 → 06/2026
  Unemployed
  Morristown, NJ
• 06/2026 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2023-06-29 → 2024-12-31
  Cetera Investment Advisers Llc
  Morristown, NJ
• 2019-02-21 → 2023-06-29
  Cetera Wealth Services, Llc
  Edison, NJ
  East Mendham, NJ
  Edison, NJ
  Morristown, NJ

Other Businesses

NAME OF OTHER BUSINESS: N/A INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: TAX PREPARATION START DATE: 1993 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: TAX PREP SERVICES AS CPA

Exams

• S65 Uniform Investment Adviser Law Examination
  2018-09-06
• S63 Uniform Securities Agent State Law Examination
  2017-06-15