Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Bennett is a financial advisor with Cetera Investment Advisers LLC. Thomas has been in the financial services industry since 1989. Thomas is registered with the state of California and holds the Series 6, 7, 24, 26, 63, and 65 licenses, as well as the SIE. He is a Certified Financial Planner. Cetera Investment Advisers LLC provides a range of financial services, including financial planning, portfolio management, and pension consulting.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
CA
06/29/2023 - Present
Cetera Investment Advisers LLC (CONCORD CA)
CA
11/29/2017 - 12/06/2018
LPL FINANCIAL LLC (IRVINE CA)
CA
03/04/2011 - 11/29/2017
NATIONAL PLANNING CORPORATION (IRVINE CA)
CA
01/22/2007 - 11/04/2010
CUNA BROKERAGE SERVICES, INC. (SANTA ANA CA)
CA
05/13/2002 - 01/24/2007
CUSO FINANCIAL SERVICES, L.P. (SANTA ANA CA)
IA
02/14/2002 - 05/14/2002
CUNA BROKERAGE SERVICES, INC. (WAVERLY IA)
CA
03/01/1999 - 02/13/2002
CUSO FINANCIAL SERVICES, L.P. (SAN DIEGO CA)
MO
03/21/1998 - 03/12/1999
FIRST BROKERAGE AMERICA, L.L.C. (CLAYTON MO)
WI
02/08/1993 - 02/26/1998
FIMCO SECURITIES GROUP, INC. (PORT WASHINGTON WI)
CA
06/20/1988 - 01/30/1990
FREEMAN FINANCIAL SERVICES CORPORATION (SAN MATEO CA)
NA
06/12/1986 - 06/02/1988
EQUICO SECURITIES, INC.
NA
06/12/1986 - 05/25/1988
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BC
Issued 09/13/2022
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 12/01/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/29/2003
Series 24 - General Securities Principal Examination
BC
Issued 08/15/1996
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 08/25/2022
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/02/1997
Series 7 - General Securities Representative Examination
BC
Issued 02/03/1993
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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