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Richard Thomas
32 Years of Experience
Point Pleasant, NJ
1 DisclosureBroker
Richard Thomas is a registered investment advisor at Cetera Investment Advisers LLC, based in Point Pleasant, NJ, with 32 years of industry experience. Richard 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
604-610 Laurel Ave, Point Pleasant, NJ, 08742
Get directionsHistory
Regulatory History (1)
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Customer Dispute
June 2003Denied
Employment History
Current Registrations
Cetera Investment Advisers LLC
December 2016 - Present · 9 yrs 5 mos
Cetera Investment Services LLCBroker
June 2001 - Present · 24 yrs 11 mos
Previous Registrations
Compulife Investor Services, INC.Broker
April 1996 - June 2001 · 5 yrs 2 mos
First Hanover Securities, INC.Broker
October 1994 - November 1995 · 1 yr 1 mo
Thomas James Associates, INC.Broker
August 1994 - October 1994 · 2 mos
Westfield Financial CorporationBroker
August 1994 - August 1994 · 0 mos
Hibbard Brown & CO., INC.Broker
February 1993 - September 1994 · 1 yr 7 mos
State Registrations11 states
AZFLMAMDMENCNJNYPASCVA
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.