Thomas R. Mcnell

CETERA INVESTMENT ADVISERS LLC

WALNUT CREEK, CA 94596

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CRD#: 1068074

Professional summary

Thomas Richard Mcnell III, who also goes by Thomas Richard Mcnell III, Thomas Richard Mcnell, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Walnut Creek, California and CETERA ADVISORS LLC located in Walnut Creek, California.

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 20 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas Richard Mcnell Iii | Thomas Richard Mcnell

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.) KIWANIS CLUB OF THE DELTA ANTIOCH; VOLUNTEER PRESIDENT; NON-PROFIT ORGANIZATION; START DATE 02/06/2018; 4 HOURS PER MONTH. 2.) NAME OF OTHER BUSINESS: ENHANCED FINANCIAL GROUP; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 08/2024; 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; 3) NAME OF OTHER BUSINESS: DELTA VETERANS GROUP; INVESTMENT RELATED: NO; ADDRESS: 815 FULTON SHIPYARD ROAD ANTIOCH, CA 94509 NATURE OF BUSINESS: NON PROFIT; START DATE: 11/2025; POSITION/TITLE/RELATIONSHIP: EXECUTIVE BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 4; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: HELP ARRANGE EVENTS, SELECT VETERANS TO HONOR, VOTE ALONG WITH BOARD MEMBERS ON FINANCIAL MATTERS;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Richard Mcnell III'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®

None

Experience

Current

August 11, 2021 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1777 Botelho Drive Suite 275, Walnut Creek, CA 94596

RIA

CRD#: 105644

WALNUT CREEK, CA

Current

September 8, 2022 - Present

CETERA ADVISORS LLC

Office #1: 1777 Botelho Drive Suite 275, Walnut Creek, CA 94596

CRD#: 10299

Walnut Creek, CA

Past

August 6, 2021 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

WALNUT CREEK, CA

Past

June 2, 2017 - August 9, 2021

EDWARD JONES

RIA

CRD#: 250

BRENTWOOD, CA

Past

June 2, 2017 - August 9, 2021

EDWARD JONES

CRD#: 250

BRENTWOOD, CA

Past

August 10, 2016 - June 5, 2017

MORGAN STANLEY

RIA

CRD#: 149777

WALNUT CREEK, CA

Past

May 5, 2016 - June 5, 2017

MORGAN STANLEY

CRD#: 149777

WALNUT CREEK, CA

Past

September 8, 2015 - March 31, 2016

T3 TRADING GROUP, LLC

CRD#: 154431

NEW YORK, NY

Past

November 3, 2011 - March 9, 2015

DISCERN SECURITIES, INC.

CRD#: 155854

SAN MATEO, CA

Past

November 18, 2009 - July 26, 2011

AURIGA USA, LLC

CRD#: 121731

NEW YORK, NY

Past

March 24, 2009 - November 16, 2009

LIGHTHOUSE FINANCIAL GROUP, LLC

CRD#: 103734

WALNUT CREEK, CA

Past

March 11, 2009 - November 18, 2009

MULTITRADE SECURITIES LLC

CRD#: 47485

WALNUT CREEK, CA

Past

April 24, 2006 - March 11, 2009

STANFORD GROUP COMPANY

CRD#: 39285

SAN FRANCISCO, CA

Past

October 16, 2000 - April 11, 2006

CITIZENS JMP SECURITIES, LLC

CRD#: 22208

SAN FRANCISCO, CA

Past

June 10, 1999 - October 16, 2000

E*OFFERING

CRD#: 36717

SAN FRANCISCO, CA

Past

July 2, 1998 - June 1, 1999

PREFERREDTRADE, INC.

CRD#: 10993

SAN FRANCISCO, CA

Past

April 17, 1996 - July 27, 1998

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

April 10, 1995 - April 8, 1996

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

September 24, 1991 - January 1, 1994

ROBERTSON, STEPHENS & COMPANY LLC

CRD#: 7730

SAN FRANCISCO, CA

Past

March 6, 1987 - November 28, 1988

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

Past

October 31, 1983 - April 11, 1984

SUTRO & CO. INCORPORATED

CRD#: 801

Past

November 26, 1982 - October 7, 1983

A. G. EDWARDS & SONS, INC.

CRD#: 4

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

Arizona
(9/8/2022)

IAR

California
(8/11/2021)

California
(9/8/2022)

Colorado
(3/14/2024)

Connecticut
(9/8/2022)

District of Columbia
(11/15/2024)

Florida
(8/4/2023)

Georgia
(9/8/2022)

Hawaii
(9/8/2022)

Maine
(9/8/2022)

Mississippi
(1/16/2024)

Montana
(9/8/2022)

Ohio
(1/31/2025)

Oklahoma
(9/8/2022)

Texas
(3/4/2025)

IAR

Texas
(3/4/2025)

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: 7/22/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 5/20/2016

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/10/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 2/18/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 11/20/1982

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/13/1999

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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Firm Stability Insights

Thomas R. Mcnell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Richard Mcnell III's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

FIRST ALLIED SECURITIES, INC.

EDWARD JONES

EDWARD JONES

MORGAN STANLEY

MORGAN STANLEY

T3 TRADING GROUP, LLC

DISCERN SECURITIES, INC.

AURIGA USA, LLC

LIGHTHOUSE FINANCIAL GROUP, LLC

MULTITRADE SECURITIES LLC

STANFORD GROUP COMPANY

CITIZENS JMP SECURITIES, LLC

E*OFFERING

PREFERREDTRADE, INC.

CHARLES SCHWAB & CO., INC.

PRUDENTIAL EQUITY GROUP, LLC

ROBERTSON, STEPHENS & COMPANY LLC

DREXEL BURNHAM LAMBERT INCORPORATED

SUTRO & CO. INCORPORATED

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/22/2016

Series 66

Date: 5/20/2016

Series 63

Date: 7/10/1995

SIE

Date: 10/1/2018

Series 55

Date: 2/18/2000

Series 7

Date: 11/20/1982

Series 24

Date: 9/13/1999

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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