Thomas Ferraro is a registered investment advisor, based in Rochester, NY, with 34 years of industry experience. Thomas is also registered as a broker, so some compensation may come from commissions on products sold.
Location
517 Beahan Road, Rochester, NY, 14624
Get directionsHistory
Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
June 2010Denied
Other Business Activities
Thomas is a CPA and owner/sole proprietor of a tax preparation and accounting business, dedicating nearly full-time hours to it. He is also a self-employed musician, spending about 10-20% of his time playing bass guitar and singing.
Employment History
Current Registrations
Cetera Investment Advisers LLC
September 2025 - Present · 1 yr 1 mo
Cetera Wealth Services, LLCBroker
September 2025 - Present · 1 yr 1 mo
Previous Registrations
Avantax Advisory Services
August 2021 - September 2025 · 4 yrs 1 mo
Avantax Investment Services, INC.Broker
March 1992 - September 2025 · 33 yrs 6 mos
State Registrations6 states
COFLGANCNYPA
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.
More Advisors
- Melissa Siesto, ChFCEagle Strategies LLC
- Adam Magee, CFPWhitney & Company
- Anthony Vaccaro, CFPLPL Financial LLC
- Grace Stolberg, CFPO'keefe Stevens Advisory, INC.
- Corey Lare, CFASage, Rutty & CO., INC.
- Thomas Metzler, ChFCLPL Financial LLC