Thomas Carroll
Investment adviser representative at Cetera Investment Advisers LLC
14 yearsExperience
2 statesRegistered in
$256.8BFirm assets
42 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat fee
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
14 years in the industry.
- Sbia WealthDec 2025 to now
- Cetera Investment Advisers LLCJan 2025 to now
- Cetera Wealth Services, LLCJan 2025 to now
- Small Business Insurance Agency, IncOct 2023 to now
- JPMorgan Chase Bank NAJul 2022 to Oct 2023
- JPMorgan Securities LLCJul 2022 to Oct 2023
- Cornell UniversityMay 2021 to Jun 2022
- Lincoln Financial GroupJan 2021 to Apr 2021
- Nassau Services LLCJun 2020 to Aug 2020
- Brown UniversitySep 2019 to Dec 2020
- Sterlingbridge Insurance AgencyJul 2018 to Jan 2021
- Cetera Financial GroupMay 2018 to Aug 2018
- University of Southern CaliforniaJan 2017 to Mar 2019
- UnemployedJul 2012 to Dec 2016
Exams passed
- Series 66 · Uniform Combined State Law2022
State registrations
Registered as an investment adviser representative in 2 states (CT, MA).
Cetera Investment Advisers LLC
$256.8BAssets managed
813,961Clients
10,109Advisers
42 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 6906797
- Firm CRD
- 105644