TG
TG
Thomas Galbraith
30 Years of Experience
Henderson, NV
2 DisclosuresBrokerSells Insurance
Thomas Galbraith is a registered investment advisor at Cetera Investment Advisers LLC, based in Henderson, NV, with 30 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.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10471 advisors
IM Fee
Planning only
Assets Under Management
$256.8B
Loading...
Location
Henderson, NV
Get directionsHistory
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
March 2003Denied
Customer Dispute
October 2002Denied
Other Business ActivitiesSells Insurance
Thomas is the president of KG Financial Group, selling life insurance and fixed annuities, dedicating minimal time. He also owns Thomas M. Galbraith DBA KG Financial Group, offering health insurance to small companies and individuals.
Employment History
Current Registrations
Cetera Investment Advisers LLC
June 2023 - Present · 3 yrs 4 mos
Cetera Wealth Services, LLCBroker
September 2019 - Present · 7 yrs 1 mo
Previous Registrations
Cetera Advisor Networks LLC
May 2021 - June 2023 · 2 yrs 1 mo
Summit Financial Group INC
May 2004 - May 2021 · 17 yrs
Summit Brokerage Services, INC.Broker
May 2004 - September 2019 · 15 yrs 4 mos
UBS Financial Services INC.
December 2002 - June 2004 · 1 yr 6 mos
UBS Financial Services INC.Broker
November 2002 - June 2004 · 1 yr 7 mos
Salomon Smith Barney INC.
May 2002 - December 2002 · 7 mos
Salomon Smith Barney INC.Broker
November 1995 - December 2002 · 7 yrs 1 mo
State Registrations14 states
AZCACOFLIDILKSMONCNJNVNYOHUT
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
- Lydia Salo, CFPCetera Investment Advisers LLC
- Jennie Landefeld, CFPStrategic Advisers LLC
- Justin Long, CFPDiazo, LLC
- Raymond Yin, CFAMML Investors Services, LLC
- Matthew Bontrager, PFSCambridge Investment Research Advisors, INC.
- Michael Marinaro, CFPEdward Jones