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Thomas Ferguson

Cetera Investment Advisers LLC

New York, NY

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Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2024-07-04
  • NY RA
    APPROVED
    Since 2024-07-04

Branch Locations

1430 Broadway Suite 700, New York, NY 10018 • 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
OrganizationCityStateFromTo
Cetera Investment Services Llc St Cloud MN 04/2024 Present
City Of Yonkers Fire Department Yonkers NY 10/2020 Present
Liberty Mutual Insurance Tarrytown NY 10/2017 10/2020
Fanshawe Inc. D.b.a Rockland Electric Nanuet NY 02/2015 10/2017
Cetera Investment Advisers Llc New York NY 07/2024 Present
  • 04/2024 → Present
    Cetera Investment Services Llc
    St Cloud, MN
  • 10/2020 → Present
    City Of Yonkers Fire Department
    Yonkers, NY
  • 10/2017 → 10/2020
    Liberty Mutual Insurance
    Tarrytown, NY
  • 02/2015 → 10/2017
    Fanshawe Inc. D.b.a Rockland Electric
    Nanuet, NY
  • 07/2024 → Present
    Cetera Investment Advisers Llc
    New York, NY
Other Businesses

FIREFIGHTER AT CITY OF YONKERS; 40 HRS/WK

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-04-10
S63 Uniform Securities Agent State Law Examination 2022-09-24
  • S65 Uniform Investment Adviser Law Examination
    2023-04-10
  • S63 Uniform Securities Agent State Law Examination
    2022-09-24
Other Names
  • Tom Ferguson
  • Thomas Ferguson

View on SEC IAPD

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Other Offices

ISLET MANAGEMENT, LP · NEW YORK, NY
P2 CAPITAL PARTNERS, LLC · NEW YORK, NY
KINYAN CAPITAL MANAGEMENT LLC · NEW YORK, NY
BRIGHTSPIRE CAPITAL ADVISORS, LLC · NEW YORK, NY
ACORN ADVISORY CAPITAL, L.P. · NEW YORK, NY
COMPASS GROUP LLC · NEW YORK, NY
CRESTVIEW PARTNERS · NEW YORK, NY
LEEDS EQUITY PARTNERS · NEW YORK, NY

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