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Thomas Coco

Cetera Investment Advisers LLC
32 Years of Experience
Evergreen, CO
2 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Thomas Coco is a registered investment advisor at Cetera Investment Advisers LLC, based in Evergreen, CO, with 32 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

6552 Little Cub Creek Rd, Evergreen, CO, 80439

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History

Regulatory History (2)
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
January 1999
Award / Judgment
Criminal
May 1991
Final Disposition
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Thomas is an insurance agent selling life insurance and annuities. He also has a YouTube channel, "TreehouseTommy", where advertisements are run.

Employment History
Current Registrations
Cetera Investment Advisers LLC
June 2023 - Present · 3 yrs 4 mos
Cetera Wealth Services, LLC
August 2008 - Present · 18 yrs 2 mos
Cetera Wealth Services, LLCBroker
August 2008 - Present · 18 yrs 2 mos
Previous Registrations
Cetera Advisor Networks LLC
August 2008 - June 2023 · 14 yrs 10 mos
Pension Planners Securities, INC.
March 2002 - August 2008 · 6 yrs 5 mos
Pension Planners Securities, INC.Broker
November 2000 - August 2008 · 7 yrs 9 mos
Round Hill Securities, INC.Broker
November 2000 - December 2002 · 2 yrs 1 mo
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
July 1997 - November 2000 · 3 yrs 4 mos
Olde Discount CorporationBroker
March 1994 - July 1997 · 3 yrs 4 mos
State Registrations15 states
AZCACOFLHIILLAMINVOHORTXUTVAWA
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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