Thomas Phy

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:

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
TX	RA	APPROVED	2025-08-25
TN	RA	APPROVED	2024-11-19

TX RA
APPROVED

Since 2025-08-25
TN RA
APPROVED

Since 2024-11-19

Branch Locations

4657 West Main St., Erin, TN 37061 • 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
Cetera Investment Services Llc	Saint Cloud	MN	07/2024	Present
Regions Bank	Nashville	TN	05/2012	Present
Cetera Investment Advisers Llc	Nashville	TN	11/2024	Present

07/2024 → Present

Cetera Investment Services Llc

Saint Cloud, MN
05/2012 → Present

Regions Bank

Nashville, TN
11/2024 → Present

Cetera Investment Advisers Llc

Nashville, TN

Other Businesses

1. REGIONS BANK, PLATFORM REP, OFFER GUIDANCE AND CUSTOMER SERVICE, DEPOSIT ACCOUNTS, LOANS AND CREDIT CARD PRODUCTS. FIXED INSURANCE SALES THROUGH THE BANK

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2024-11-13

S66 Uniform Combined State Law Examination

2024-11-13

View on SEC IAPD

Employer firm

Current Employers

Cetera Investment Advisers Llc

Disclosures

Employment History

Other Businesses

Exams

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