Thomas N. Zirbel
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Thomas Norman Zirbel, who also goes by Thomas N Zirbel, Thomas Norman Zirbel, Thomas Zirbel, Tom Norman Zirbel, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1982. Thomas had worked at 20 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 3, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 29, 2023 - December 3, 2025
CETERA INVESTMENT ADVISERS LLC
October 5, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
October 4, 2021 - December 3, 2025
CETERA WEALTH SERVICES, LLC
October 4, 2021 - December 3, 2025
CETERA INVESTMENT SERVICES LLC
June 12, 2019 - November 13, 2020
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
June 12, 2019 - November 13, 2020
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
July 21, 2016 - July 16, 2018
EQUITRUST INVESTMENT MANAGEMENT SERVICES, INC.
May 12, 2016 - July 3, 2018
FBL MARKETING SERVICES, LLC
February 5, 2015 - July 2, 2015
PROSPERA FINANCIAL SERVICES, INC.
January 22, 2015 - July 2, 2015
PROSPERA FINANCIAL SERVICES, INC.
February 21, 2014 - June 11, 2014
CABANA ASSET MANAGEMENT
January 10, 2013 - December 24, 2013
LPL FINANCIAL LLC
December 19, 2012 - December 24, 2013
LPL FINANCIAL LLC
June 20, 2012 - July 20, 2012
PACKERLAND BROKERAGE SERVICES, INC.
September 29, 2010 - August 10, 2011
FARMERS FINANCIAL SOLUTIONS, LLC
October 13, 2009 - June 22, 2010
WADDELL & REED
June 19, 2009 - June 22, 2010
WADDELL & REED
March 10, 2008 - September 8, 2008
GREENBERG FINANCIAL GROUP
May 15, 2003 - March 31, 2006
AMERIPRISE ADVISOR SERVICES, INC.
June 16, 2000 - September 19, 2002
PRUDENTIAL EQUITY GROUP, LLC
March 26, 1997 - June 29, 2000
SUTRO & CO. INCORPORATED
November 25, 1996 - April 4, 1997
MORGAN STANLEY DW INC.
September 11, 1993 - August 10, 1995
WELLS FARGO CLEARING SERVICES, LLC
April 14, 1982 - August 18, 1993
UBS FINANCIAL SERVICES INC.
February 10, 1982 - March 24, 1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 3/13/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
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 | ||
| 12/13/2024 | ||
| 09/26/2023 |
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.
