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Thomas Flores

Cetera Advisors LLC

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About Thomas Flores

Thomas Flores is a financial advisor with over 20 years of experience in the industry. He is registered with Cetera Advisors LLC, Cetera Financial Specialists LLC, Cetera Advisor Networks LLC, and Cetera Investment Services LLC. Thomas has a wide range of experience in the financial services industry and is committed to providing clients with personalized financial advice and guidance.

Firm Information

Thomas Flores is currently registered with Cetera Advisors LLC. Cetera Advisors LLC is a Limited Liability Company formed on August 31, 2012. It is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has 14 Regulatory Event disclosures, 1 Civil Event disclosure, and 7 Arbitration disclosures on file.

Not reported

Assets Under Management

Not reported

Total Clients

467

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Thomas Flores’s Registration & Firm History

MN

04/25/2012 - Present

Cetera Advisors LLC (ST CLOUD MN)

MN

11/13/2015 - 11/08/2016

INVESTORS CAPITAL CORP. (ST. CLOUD MN)

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Licenses & Designations

BC

Issued 06/25/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/03/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Thomas Flores.
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