TH
Thomas A. Haunty
CETERA INVESTMENT ADVISERS LLC
MADISON, WI 53711
Some features on this profile are disabled
CRD#: 1065116
TH
Professional summary
Thomas Alexander Haunty, AIF®, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Madison, Wisconsin and CETERA WEALTH SERVICES, LLC located in Madison, Wisconsin.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Thomas has worked at 7 firms and has passed the 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.ALEX HAUNTY'S THEATER AND ARTS FUND POSITION: MEMBER NATURE: BOARD MEMBER INVESTMENT RELATED: NO NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 11/01/2014 ADDRESS: , MIDDLETON WI , UNITED STATES DESCRIPTION: MEMBER 2.ASPIRE HOUSING INC. BOARD POSITION: ADVISORY BOARD NATURE: BOARD MEMBER INVESTMENT RELATED: NO NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 12/01/2015 ADDRESS: , MCFARLAND WI , UNITED STATES DESCRIPTION: ADVISORY BOARD 3.INSPIRING HOPE MINISTRIES INC. POSITION: MEMBER NATURE: BOARD MEMBER INVESTMENT RELATED: NO NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 09/01/2015 ADDRESS: , MIDDLETON WI , UNITED STATES DESCRIPTION: MEMBER 4.NORTH STAR CONSULTANTS & NORTH STAR BROKERAGE POSITION: AGENT/BROKER NATURE: FIXED INSURANCE SALES INVESTMENT RELATED: NO NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 06/01/2011 ADDRESS: , MINNEAPOLIS MN , UNITED STATES DESCRIPTION: AGENT/BROKER 5.TRUMPET BLAST MINISTRY INC POSITION: MEMBER NATURE: BOARD MEMBER INVESTMENT RELATED: NO NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2013 ADDRESS: , MADISON WI , UNITED STATES DESCRIPTION: MEMBER 6.MTG INVESTMENTS INC. BOARD POSITION: PARTNER NATURE: BOARD MEMBER INVESTMENT RELATED: YES NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 05/01/2016 ADDRESS: 2292 CTY RD AB, MCFARLAND WI 53558, UNITED STATES DESCRIPTION: NON-PUBLIC BOARD MEMBERSHIP. THIS ENTITY LOANED THE MONEY IS FOR 4 YOUNG MALE ADULTS WITH DISABILITIES. PARENTS FORMED THIS ENTITY TO DEVELOP AN ADULT FAMILY HOME. 7.INSPIRING HOPE PROPERTIES LLC POSITION: OWNER NATURE: RENTAL PROPERTY INVESTMENT RELATED: NO NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 10/14/2019 ADDRESS: 77325 UNIVERSITY AVENUE, MIDDLETON WI 53562, UNITED STATES DESCRIPTION: REAL ESTATE LEASE OUT: 8. NAME OF OTHER BUSINESS: NORTH STAR RESOURCE GROUP; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 8/2023, 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;
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Alexander Haunty'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®
CFP®
Start date: 1986
Experience
Current
August 10, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 2945 Triverton Pike Dr Ste 200, Madison, WI 53711RIA
CRD#: 105644
MADISON, WI
Current
August 10, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2945 Triverton Pike Drive Suite 200, Madison, WI 53711BD
CRD#: 13572
MADISON, WI
Past
July 26, 2007 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
MADISON, WI
Past
November 7, 2003 - October 18, 2021
CRI SECURITIES, LLC
RIA
CRD#: 22589
MADISON, WI
Past
March 30, 1989 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
MADISON, WI
Past
September 21, 1988 - October 18, 2021
CRI SECURITIES, LLC
BD
CRD#: 22589
MADISON, WI
Past
February 11, 1985 - December 31, 2007
MARATHON ADVISORS, INC
RIA
CRD#: 113696
MADISON, WI
Past
September 16, 1983 - September 21, 1988
CONSOLIDATED RESOURCES, INC.
BD
CRD#: 13747
Past
April 4, 1983 - September 6, 1983
IRG SECURITIES, INC.
BD
CRD#: 4182
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
Alaska(8/10/2023)
RR
Arizona(8/10/2023)
RR
Arkansas(8/10/2023)
RR
California(8/10/2023)
RR
Colorado(8/10/2023)
RR
Connecticut(8/10/2023)
RR
Delaware(8/10/2023)
RR
District of Columbia(8/10/2023)
RR
Florida(8/11/2023)
RR
Georgia(8/10/2023)
RR
Idaho(11/15/2023)
RR
Illinois(8/10/2023)
RR
Indiana(8/10/2023)
RR
Iowa(8/10/2023)
RR
Kansas(8/10/2023)
RR
Kentucky(8/10/2023)
RR
Louisiana(8/10/2023)
RR
Maryland(8/10/2023)
RR
Massachusetts(8/10/2023)
RR
Michigan(8/10/2023)
RR
Minnesota(8/10/2023)
RR
Missouri(8/10/2023)
RR
Montana(8/10/2023)
RR
Nevada(8/10/2023)
RR
New Hampshire(8/10/2023)
RR
New Jersey(8/10/2023)
RR
New Mexico(8/10/2023)
RR
New York(8/10/2023)
RR
North Carolina(8/10/2023)
RR
North Dakota(8/10/2023)
RR
Ohio(8/10/2023)
RR
Oregon(8/10/2023)
RR
Pennsylvania(8/10/2023)
RR
South Carolina(8/10/2023)
RR
South Dakota(8/10/2023)
RR
Tennessee(8/10/2023)
RR
Texas(8/10/2023)
IAR
Texas(8/10/2023)
RR
Utah(8/10/2023)
RR
Virginia(8/10/2023)
RR
Washington(8/10/2023)
RR
Wisconsin(8/10/2023)
IAR
Wisconsin(8/10/2023)
RR
Wyoming(8/10/2023)
Exams
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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
