Thomas Carroll

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

• 07/2022 → 10/2023
  Jpmorgan Chase Bank Na
  New York, NY
• 07/2022 → 10/2023
  Jpmorgan Securities Llc
  New York, NY
• 07/2018 → 01/2021
  Sterlingbridge Insurance Agency
  Worcester, MA
• 01/2021 → 04/2021
  Lincoln Financial Group
  Hartford, CT
• 05/2021 → 06/2022
  Cornell University
  New York, NY
• 05/2018 → 08/2018
  Cetera Financial Group
  El Segundo, CA
• 07/2012 → 12/2016
  Unemployed
  Worcester, MA
• 09/2019 → 12/2020
  Brown University
  Providence, RI
• 06/2020 → 08/2020
  Nassau Services Llc
  Hartford, CT
• 01/2017 → 03/2019
  University Of Southern California
  Los Angeles, CA
• 10/2023 → Present
  Small Business Insurance Agency, Inc
  Worcester, MA
• 01/2025 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 01/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 12/2025 → Present
  Sbia Wealth
  Worcester, MA

Previous Registrations

• 2022-10-18 → 2023-10-07
  J.P. Morgan Securities Llc
  New York, NY

Other Businesses

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 11/2023 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SALES OF INSURANCE PRODUCTS; 2. NAME OF OTHER BUSINESS: PERSONAL RENTAL PROPERTY INVESTMENT RELATED: NO ADDRESS: NY, NY 10075 NATURE OF BUSINESS: RENTAL PROPERTY START DATE: 12/2024 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: .5 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: FULFIL TENANT REQUESTS FOR REPAIR AND RENEWALS; 3. NAME OF OTHER BUSINESS: SMALL BUSINESS INSURANCE AGENCY, INC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: MARKET AND SELL FIXED ANNUITY PRODUCTS START DATE: 10/2023 POSITION/TITLE/RELATIONSHIP: PRESIDENT APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: MARKETING, SALES; 4. NAME OF OTHER BUSINESS: SBIA WEALTH; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 12/2025, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 5, APX NUMBER OF HOURS DURING TRADING HOURS: 5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Exams

• S66 Uniform Combined State Law Examination
  2022-10-18

Other Names

• Thomas Carroll
• Thomas Francis Carroll