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Thomas Bastian

Cetera Investment Advisers LLC
38 Years of Experience
Gilbert, AZ
1 DisclosureBrokerSells Insurance
View SEC Summary
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Thomas Bastian is a registered investment advisor at Cetera Investment Advisers LLC, based in Gilbert, AZ, with 38 years of industry experience. Thomas is also registered as a broker, so some compensation may come from commissions on products sold. Their firm serves 813,961 clients with $260B in assets under management.

Cetera Investment Advisers LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10471 advisors
IM Fee
Planning only
Assets Under Management
$256.8B

Location

Gilbert, AZ

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History

Regulatory History (1)
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Customer Dispute
April 2004
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Thomas is the owner and president of Bastian Financial Services, LLC, which sells fixed insurance, securities, and investment products. He is also an independent insurance agent selling fixed insurance, dedicating nearly full-time hours to this activity.

Employment History
Current Registrations
Cetera Investment Advisers LLC
June 2023 - Present · 3 yrs 4 mos
Cetera Wealth Services, LLCBroker
June 2021 - Present · 5 yrs 4 mos
Previous Registrations
Cetera Advisor Networks LLC
June 2021 - June 2023 · 2 yrs
Voya Financial Advisors, INC.
March 2009 - June 2021 · 12 yrs 3 mos
Voya Financial Advisors, INC.Broker
February 2009 - June 2021 · 12 yrs 4 mos
Sagepoint Financial, INC.
June 2008 - March 2009 · 9 mos
Sagepoint Financial, INC.Broker
May 2008 - March 2009 · 10 mos
LPL Financial Corporation
February 2007 - June 2008 · 1 yr 4 mos
LPL Financial CorporationBroker
February 2007 - June 2008 · 1 yr 4 mos
Banc of America Investment Services, INC.
August 2002 - February 2007 · 4 yrs 6 mos
Eagle Asset Management INC
February 2002 - October 2002 · 8 mos
Banc of America Investment Services, INC.Broker
July 1999 - February 2007 · 7 yrs 7 mos
Ba Investment Services, INC.Broker
February 1997 - July 1999 · 2 yrs 5 mos
Nylife Securities INC.Broker
February 1995 - April 1996 · 1 yr 2 mos
Philadelphia Life Asset Planning CompanyBroker
January 1993 - December 1994 · 1 yr 11 mos
Walnut Street Securities, INC.Broker
July 1990 - January 1991 · 6 mos
Kirkpatrick, Pettis, Smith, Polian INC.Broker
May 1990 - July 1990 · 2 mos
Mutual of Omaha Fund Management CompanyBroker
October 1985 - July 1990 · 4 yrs 9 mos
State Registrations7 states
ARAZCOFLMIMNMO
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
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