Thomas Jeffrey
Thomas Jeffrey is a registered investment advisor at Cetera Investment Advisers LLC, based in Scottsdale, AZ, with 43 years of industry experience. Thomas operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Location
Scottsdale, AZ
Get directionsHistory
Regulatory History (6)
Customer Dispute
February 2014Customer Dispute
October 2013Employment Separation After Allegations
June 2013Customer Dispute
February 2013Regulatory
January 2005Customer Dispute
September 1992Other Business ActivitiesSells Insurance
Thomas co-owns two independent mail and shipping stores with his wife, but has no day-to-day role. He also owns Baymeadow Capital LLC, formed as a potential holding company, and is a managing director at Silver Birch Advisors, LLC, dedicating nearly full-time hours. Thomas is also a financial professional at FFEC Wealth Partners, dedicating about full-time hours, and an insurance agent selling fixed insurance products, dedicating about 10-20% of his time.
Employment History
Current Registrations
Cetera Investment Advisers LLC
Cetera Wealth Services, LLCBroker
Previous Registrations
Cetera Advisor Networks LLC
First Financial Equity Corporation
First Financial Equity CorporationBroker
Raymond James & Associates, INC.
Raymond James & Associates, INC.Broker
Raymond James & Associates, INC.
Raymond James & Associates, INC.Broker
UBS Financial Services INC.
UBS Financial Services INC.Broker
Morgan Stanley Smith Barney LLC
Morgan Stanley Smith BarneyBroker
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
Wachovia Securities, LLC
Wachovia Securities, LLCBroker
Dain Rauscher IncorporatedBroker
Piper Jaffray INC.Broker
Painewebber IncorporatedBroker
Dean Witter Reynolds INC.Broker
Smith Barney, Harris Upham & CO., IncorporatedBroker
State Registrations7 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.