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Thomas J Sboto

Cetera Advisor Networks LLC

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About Thomas J Sboto

Thomas J. Sboto is a financial advisor with Cetera Advisor Networks LLC. Thomas has over 25 years of experience in the financial services industry. His primary focus is on providing comprehensive financial planning and investment management services to individuals and families. He has also served as a Registered Principal with a variety of firms, including Next Financial Group, Inc. and Legend Equities Corporation. He is a Series 7, 24, and 63 licensed representative. Thomas is committed to providing clients with personalized financial advice and guidance, with a focus on building long-term relationships.

Firm Information

Thomas Sboto is currently registered with Cetera Advisor Networks LLC. Cetera Advisor Networks LLC is a Limited Liability Company formed in 2012. The firm is registered with the SEC and in 53 states. It is approved to provide advisory services.

Not reported

Assets Under Management

Not reported

Total Clients

695

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 Sboto’s Registration & Firm History

CA

11/20/2019 - Present

Cetera Advisor Networks LLC (EL SEGUNDO CA)

TX

03/26/2018 - 07/01/2019

NEXT FINANCIAL GROUP, INC. (HOUSTON TX)

FL

08/05/2015 - 04/27/2016

LEGEND EQUITIES CORPORATION (PALM BEACH GARDENS FL)

CA

06/13/2005 - 04/18/2016

FIRST ALLIED SECURITIES, INC. (SAN DIEGO CA)

CA

08/06/1994 - 06/13/2005

ROUND HILL SECURITIES, INC. (ALAMO CA)

MA

03/16/1993 - 06/29/1994

G.R. STUART & COMPANY, INC. (MAYNARD MA)

NA

08/18/1992 - 03/16/1993

FINANCIAL SECURITIES NETWORK,INC.

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Licenses & Designations

BC

Issued 11/24/1992

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/17/2005

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/12/1992

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 3 public disclosures for Thomas J Sboto. Review regulatory record here.
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