Thomas James Roach

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
MA	RA	APPROVED	2023-06-29
TX	RA	APPROVED_RES	2023-06-29

MA RA
APPROVED

Since 2023-06-29
TX RA
APPROVED_RES

Since 2023-06-29

Branch Locations

230 2Nd Ave Ste 105, Waltham, MA 02451 • 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

Organization	City	State	From	To
Voya Financial Advisors	Waltham	MA	09/2014	06/2021
Cetera Wealth Services, Llc	El Segundo	CA	06/2021	Present
Cetera Investment Advisers Llc	Schaumburg	IL	06/2023	Present

09/2014 → 06/2021

Voya Financial Advisors

Waltham, MA
06/2021 → Present

Cetera Wealth Services, Llc

El Segundo, CA
06/2023 → Present

Cetera Investment Advisers Llc

Schaumburg, IL

Previous Registrations

2017-05-08 → 2021-06-09

Voya Financial Advisors, Inc.

Auburndale, MA

Braintree, MA

Waltham, MA

Windsor, CT

Other Businesses

NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 230 2ND AVE STE 105; WALTHAM; MA; 2451; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 1/2/2008; 160; 160; SALES OF FIXED INSURANCE PRODUCTS

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2017-03-27
S63	Uniform Securities Agent State Law Examination	1995-06-30

S65 Uniform Investment Adviser Law Examination

2017-03-27
S63 Uniform Securities Agent State Law Examination

1995-06-30

View on SEC IAPD

Current Employers

Cetera Investment Advisers Llc

Disclosures

Employment History

Previous Registrations

Other Businesses

Exams

Other Firms

Other Investors

Other Offices

Reviews