Paul S. Thomas

CETERA INVESTMENT ADVISERS LLC

NEWPORT BEACH, CA 92660

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CRD#: 1023826

Professional summary

Paul Stanislaus Thomas JR, AIF®, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Newport Beach, California and CETERA WEALTH SERVICES, LLC located in Newport Beach, California.

Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Paul has worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6, Series 27 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. TFG FIXED INSURANCE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 04/01/1975 ADDRESS: , Newport Beach CA , United States DESCRIPTION: Agent/Broker; 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 04/1975; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Stanislaus Thomas JR's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

Start date: 1984

Experience

Current

August 10, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 4001 Macarthur Blvd Ste 300, Newport Beach, CA 92660Office #2: 672 Ridge Hill Drive Ste A, New Braunfels, TX 78130

RIA

CRD#: 105644

NEWPORT BEACH, CA

Current

August 10, 2023 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 4001 Macarthur Blvd. 3rd Floor, Newport Beach, CA 92660

CRD#: 13572

Newport Beach, CA

Past

April 2, 2003 - November 14, 2005

SLGG FINANCIAL AND INSURANCE SERVICES, LLC

RIA

CRD#: 117736

NEWPORT BEACH, CA

Past

February 12, 2003 - August 10, 2023

SECURIAN FINANCIAL SERVICES, INC.

RIA

CRD#: 15296

NEWPORT BEACH, CA

Past

March 19, 2002 - November 14, 2005

SLGG FINANCIAL AND INSURANCE SERVICES, LLC

CRD#: 117736

NEWPORT BEACH, CA

Past

August 28, 2001 - April 6, 2005

NSHD FINANCIAL AND INSURANCE SERVICES, LLC

CRD#: 111902

NEW PORT BEACH, CA

Past

March 10, 2000 - June 24, 2003

WORTHMARK FINANCIAL SERVICES, LLC

CRD#: 47086

ST. PAUL, MN

Past

December 2, 1987 - August 10, 2023

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

NEWPORT BEACH, CA

Past

April 29, 1986 - November 24, 1987

CONSOLIDATED RESOURCES, INC.

CRD#: 13747

Past

October 21, 1985 - February 24, 1986

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(8/10/2023)

IAR

California
(8/10/2023)

Hawaii
(8/10/2023)

Nevada
(4/29/2025)

Texas
(8/10/2023)

IAR

Texas
(8/10/2023)

Virginia
(1/10/2025)

Washington
(8/10/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/24/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/25/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/23/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/27/1985

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 27

Date: 7/24/2000

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 10/14/1998

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Paul S. Thomas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Stanislaus Thomas JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

SLGG FINANCIAL AND INSURANCE SERVICES, LLC

SECURIAN FINANCIAL SERVICES, INC.

SLGG FINANCIAL AND INSURANCE SERVICES, LLC

NSHD FINANCIAL AND INSURANCE SERVICES, LLC

WORTHMARK FINANCIAL SERVICES, LLC

SECURIAN FINANCIAL SERVICES, INC.

CONSOLIDATED RESOURCES, INC.

SECURIAN FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/24/1999

Series 63

Date: 3/25/1997

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/23/1998

Series 6

Date: 8/27/1985

Series 27

Date: 7/24/2000

Series 24

Date: 10/14/1998

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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