TJ
Thomas M. Jeffrey
CETERA INVESTMENT ADVISERS LLC
SCOTTSDALE, AZ 85260
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CRD#: 1052111
TJ
Professional summary
Thomas Michael Jeffrey is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Scottsdale, Arizona and CETERA WEALTH SERVICES, LLC located in Scottsdale, Arizona.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Thomas has worked at 11 firms and has passed the Series 66, Series 63, SIE and Series 7 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. NAME OF OTHER BUSINESS: LEELANAU PARTNERS, LLC DBA MAIL & PARCEL EXPRESS INVESTMENT RELATED: NO ADDRESS: 8390 E. VIA DE VENTURA, #F110, SCOTTSDALE, AZ 85258 NATURE OF BUSINESS: INDEPENDENT MAIL & SHIPPING STORES OFFERING FEDEX, UPS, DHL AND USPS SHIPPING SERVICES, PACKING, OFFICE AND SHIPPING SUPPLIES. START DATE: 8/2021 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: I AM A MEMBER OF THE LLC WHICH OWNS TWO INDEPENDENT MAIL & SHIPPING STORES WITH MY WIFE. I HAVE NO DAY-TO-DAY ROLE IN THE STORES -- MY WIFE RUNS THE STORES.; 2. NAME OF OTHER BUSINESS: PENINSULA PARTNERS, LLC DBA MAIL & PARCEL EXPRESS INVESTMENT RELATED: NO ADDRESS: 4848 E. CACTUS ROAD, STE. #505, SCOTTSDALE, AZ 85254 NATURE OF BUSINESS: AUTHORIZED SHIPPER FOR FEDEX, UPS, DHL AND USPS. WE PROVIDE SHIPPING, PACKING, MAILBOX AND SUPPLIES FOR SHIPPING (INCLUDING SHIPPING INSURANCE IF DESIRED). START DATE: 8/2021 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 5 BRIEF DESCRIPTION OF DUTIES: I HAVE NO DAY-TO-DAY ROLE AT THE STORE. IT IS RUN BY EMPLOYEES AND MY WIFE; 3. NAME OF OTHER BUSINESS: BAYMEADOW CAPITAL, LLC INVESTMENT RELATED: NO ADDRESS: 3308 N. 63RD PLACE, SCOTTSDALE, AZ 85251 NATURE OF BUSINESS: FORMED TO POSSIBLY BE A HOLDING COMPANY FOR LEELANAU PARTNERS, LLC AND PENINSULA PARTNERS, LLC -- NO ACTION TAKEN YET TO DO SO. START DATE: 3/2021 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 0 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: THE LLC IS NOT BEING USED AT PRESENT - JUST AN OWNER.; 4. NAME OF OTHER BUSINESS: SILVER BIRCH ADVISORS, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: OFFER INVESTMENT ADVICE. START DATE: 5/2019 POSITION/TITLE/RELATIONSHIP: MANAGING DIRECTOR APX NUMBER OF HOURS PER WEEK: 55 APX NUMBER OF HOURS DURING TRADING HOURS: 8 5. NAME OF OTHER BUSINESS: FFEC WEALTH PARTNERS, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 04/2022, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 6. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 07/2024; APX NUMBER OF HOURS PER WEEK: 14; APX NUMBER OF HOURS DURING TRADING HOURS: 10; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS;
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Michael Jeffrey's 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®
NoneExperience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 9059 E Bahia Dr, Scottsdale, AZ 85260Office #2: 16220 N. Scottsdale Rd Ste 300, Scottsdale, AZ 85254RIA
CRD#: 105644
SCOTTSDALE, AZ
Current
April 20, 2022 - Present
CETERA WEALTH SERVICES, LLC
Office #2: 16220 N. Scottsdale Rd Ste 300, Scottsdale, AZ 85254BD
CRD#: 13572
SCOTTSDALE, AZ
Past
April 20, 2022 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
July 24, 2017 - April 20, 2022
FFEC WEALTH PARTNERS LLC
RIA
CRD#: 16507
SCOTTSDALE, AZ
Past
July 22, 2017 - April 20, 2022
FFEC WEALTH PARTNERS LLC
BD
CRD#: 16507
SCOTTSDALE, AZ
Past
March 4, 2014 - August 15, 2017
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
SCOTTSDALE, AZ
Past
February 25, 2014 - August 15, 2017
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
SCOTTSDALE, AZ
Past
August 8, 2013 - September 4, 2013
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
SCOTTSDALE, AZ
Past
July 10, 2013 - September 4, 2013
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
SCOTTSDALE, AZ
Past
November 3, 2010 - July 2, 2013
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
PHOENIX, AZ
Past
September 16, 2010 - July 2, 2013
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
PHOENIX, AZ
Past
June 1, 2009 - October 6, 2010
MORGAN STANLEY
RIA
CRD#: 149777
TEMPE, AZ
Past
June 1, 2009 - October 6, 2010
MORGAN STANLEY
BD
CRD#: 149777
TEMPE, AZ
Past
January 31, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
TEMPE, AZ
Past
June 9, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
TEMPE, AZ
Past
June 16, 2000 - June 12, 2006
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
PHOENIX, AZ
Past
June 16, 2000 - June 12, 2006
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
PHOENIX, AZ
Past
March 18, 1999 - June 28, 2000
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
August 18, 1993 - February 22, 1999
PIPER SANDLER & CO.
BD
CRD#: 665
MINNEAPOLIS, MN
Past
August 22, 1990 - August 18, 1993
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
April 25, 1988 - September 7, 1990
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
June 28, 1982 - May 9, 1988
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
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.RR
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
RR
Arizona(4/20/2022)
IAR
Arizona(6/29/2023)
RR
California(4/20/2022)
RR
Georgia(4/20/2022)
RR
Nevada(4/20/2022)
RR
New Mexico(4/20/2022)
RR
Oregon(4/20/2022)
RR
Texas(4/20/2022)
IAR
Texas(6/29/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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)
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 | ||
| 11/18/2022 |
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.
