TB
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Thomas Bastian
37 Years of Experience
Gilbert, AZ
1 DisclosureBrokerSells Insurance
Thomas Bastian is a registered investment advisor at Cetera Investment Advisers LLC, based in Gilbert, AZ, with 37 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
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10345 advisors
IM Fee
Planning only
Assets Under Management
$163.8B
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Location
Gilbert, AZ
Get directionsHistory
Regulatory History (1)
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Customer Dispute
April 2004Denied
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 · 2 yrs 11 mos
Cetera Wealth Services, LLCBroker
June 2021 - Present · 4 yrs 11 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.