Thomas Joseph Clifford

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

• 09/2013 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Other Businesses

1. NAME OF OTHER BUSINESS: THOMAS J. CLIFFORD, INC. ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: DBA FOR TAX PURPOSES ONLY ; POSITION/TITLE/RELATIONSHIP: OWNER ; START DATE: 01/1997 ; APX NUMBER OF HOURS PER WEEK: NA ; APX NUMBER OF HOURS DURING TRADING HOURS: NA ; BRIEF DESCRIPTION OF DUTIES: DBA FOR TAX PURPOSES ONLY 2. INDEPENDENT INSURANCE AGENT(LIFE/ACCIDENT/HEALTH) 1 SECURITIES TRADING HOURS WEEKLY, 0 NON SECURITIES TRADING HOURS WEEKLY, START DATE 5/1994

Exams

• S63 Uniform Securities Agent State Law Examination
  1995-10-05