Thomas Edward Sherzan

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

• 12/2013 → 12/2018
  Broker Dealer Financial Services
  West Des Moines, IA
• 12/2013 → 12/2018
  Investment Advisors Corp
  West Des Moines, IA
• 01/2019 → 02/2019
  Unemployed
  Urbandale, IA
• 02/2019 → 06/2021
  Voya Financial Advisors, Inc
  Des Moines, IA
• 06/2021 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 09/2022 → Present
  Cetera Advisors
  St Cloud, MN
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2019-02-20 → 2021-06-09
  Voya Financial Advisors, Inc.
  Windsor, CT
  Windsor, CT
• 2014-05-13 → 2018-11-01
  Investment Advisors Corp
  West Des Moines, IA

Other Businesses

NAME OF ENTITY: BEAVERDALE LITTLE LEAGUE; NO; 5356 NW BEAVER DR, JOHNSTON, IA 50131; LITTLE LEAGUE BASEBALL ORGANIZATION; BOARD PRESIDENT; 11/2025; 5-10 HOURS PER WEEK, DUTIES: ORGANIZE AND HOLD MEETINGS, CONDUCT OFFICER OF THE DAY DUTIES, ORGANIZE TEAMS AND SCHEDULES, REPRESENT BEAVERDALE LITTLE LEAGUE IN THE COMMUNITY.

Exams

• S65 Uniform Investment Adviser Law Examination
  2014-05-13