TB
TB
Thomas Brown
20 Years of Experience
Colorado Springs, CO
Broker
Thomas Brown is a registered investment advisor at Cetera Investment Advisers LLC, based in Colorado Springs, CO, with 20 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
Colorado Springs, CO
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Cetera Investment Advisers LLC
March 2024 - Present · 2 yrs 2 mos
Cetera Wealth Services, LLC
February 2013 - Present · 13 yrs 3 mos
Cetera Investment Services LLCBroker
February 2013 - Present · 13 yrs 3 mos
Cetera Financial Specialists LLC
February 2013 - Present · 13 yrs 3 mos
Cetera Financial Specialists LLCBroker
February 2013 - Present · 13 yrs 3 mos
Cetera Wealth Services, LLCBroker
February 2013 - Present · 13 yrs 3 mos
Cetera Investment Services LLC
February 2013 - Present · 13 yrs 3 mos
Cetera Advisors LLCBroker
May 2005 - Present · 21 yrs
Cetera Advisors LLC
May 2005 - Present · 21 yrs
Previous Registrations
First Allied Securities, INC.Broker
April 2015 - September 2022 · 7 yrs 5 mos
Summit Brokerage Services, INC.Broker
April 2015 - December 2019 · 4 yrs 8 mos
Girard Securities, INC.Broker
April 2015 - November 2017 · 2 yrs 7 mos
Legend Equities CorporationBroker
April 2015 - December 2016 · 1 yr 8 mos
Vsr Financial Services, INC.Broker
April 2015 - November 2016 · 1 yr 7 mos
Investors Capital CORP.Broker
April 2015 - November 2016 · 1 yr 7 mos
J.P. Turner & Company, L.L.C.Broker
April 2015 - December 2015 · 8 mos
Cetera Advisors LLC
December 2006 - March 2024 · 17 yrs 3 mos
State Registrations2 states
CACO
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.