Thomas J Bastian

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

• 09/2014 → 06/2021
  Voya Financial Advisors
  Gilbert, AZ
• 06/2021 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2009-03-06 → 2021-06-09
  Voya Financial Advisors, Inc.
  Gilbert, AZ
  Washougal, WA
  Chandler, AZ
  Gilbert, AZ
  Williamsport, PA
  Agoura Hills, CA
  Gilbert, AZ
• 2008-06-04 → 2009-03-02
  Osaic Services, Inc.
  Phoenix, AZ
  Mesa, AZ
  Gilbert, AZ
• 2007-02-16 → 2008-06-04
  Lpl Financial Llc
  Mesa, AZ
  Fort Mill, SC
  Mesa, AZ
• 2002-08-15 → 2007-02-21
  Banc Of America Investment Services, Inc.
  Mesa, AZ
  Mesa, AZ
• 2002-02-28 → 2002-10-08
  Eagle Asset Management Inc
  St. Petersburg, FL

Other Businesses

NAME OF ENTITY:Bastian Financial Services, LLC; Yes; 2643 S. LARKSPUR ST; GILBERT; AZ; 85295; FINANCIAL SERVICES/DBA; OWNER/PRESIDENT; 4/7/2009; 1; 0; SELL OF FIXED INSURANCE, SECURITIES AND INVESTMENT PRODUCTS|NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 1820 E RAY RD; CHANDLER; AZ; 85295; Fixed Insurance Sales; Independent Insurance Agent; 2/4/2009; 160; 160; Sales of Fixed Insurance|

Exams

• S65 Uniform Investment Adviser Law Examination
  1997-09-18
• S63 Uniform Securities Agent State Law Examination
  1985-07-27

Other Names

• Tom Bastian
• Thomas J. Bastian
• Thomas James Bastian
• Thomas Bastian