Sylvester Thomas

CETERA INVESTMENT ADVISERS LLC

EDINA, MN 55439

Some features on this profile are disabled

CRD#: 1104199

Professional summary

Sylvester Thomas Jr, who also goes by Sylvester (jr) Thomas, Sylvester Thomas Jr., Sylvester Thomas, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Edina, Minnesota and CETERA INVESTMENT SERVICES LLC located in Edina, Minnesota.

Sylvester is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Sylvester has worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6, Series 24, Series 51 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sylvester (jr) Thomas | Sylvester Thomas Jr. | Sylvester Thomas

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)RENTAL PROPERTY

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sylvester 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®

None

Experience

Current

June 20, 2019 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 7301 Ohms Lane Suite 460, Edina, MN 55439

RIA

CRD#: 105644

EDINA, MN

Current

June 20, 2019 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 7301 Ohms Lane Suite 460, Edina, MN 55439

CRD#: 15340

Edina, MN

Past

June 29, 2018 - June 25, 2019

FORESTERS ADVISORY SERVICES, LLC

RIA

CRD#: 164663

Edina, MN

Past

June 27, 2018 - June 25, 2019

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

EDINA, MN

Past

January 12, 2015 - May 25, 2018

SECURIAN FINANCIAL SERVICES, INC.

RIA

CRD#: 15296

Longmeadow, MA

Past

January 6, 2015 - May 25, 2018

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

Longmeadow, MA

Past

July 24, 2013 - December 16, 2014

EAGLE STRATEGIES LLC

RIA

CRD#: 110826

JACKSONVILLE, FL

Past

March 26, 2012 - December 16, 2014

NYLIFE SECURITIES LLC

CRD#: 5167

JACKSONVILLE, FL

Past

July 13, 2001 - February 3, 2012

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

JACKSONVILLE, FL

Past

March 15, 1983 - February 3, 2012

PRUCO SECURITIES, LLC.

CRD#: 5685

JACKSONVILLE, FL

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

Florida
(6/20/2019)

Georgia
(7/19/2022)

Massachusetts
(6/20/2019)

Minnesota
(6/20/2019)

IAR

Minnesota
(6/20/2019)

New York
(5/21/2021)

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

Series 63

Date: 8/24/2002

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 5/8/2001

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/12/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/7/1983

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/21/2007

General Securities Principal Examination

Principal/Supervisory Exam

Series 51

Date: 7/21/2004

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 5/10/1999

Investment Company Products/Variable Contracts 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)

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)

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.

Similar Advisors

Chad Rusten

ELEMENT SQUARED PRIVATE WEALTH

IAR

Minneapolis, MN

Ryan Golden

WELLS FARGO CLEARING SERVICES, LLC

IAR

Crystal, MN

Janai Deitt

THRIVENT INVESTMENT MANAGEMENT INC.

IAR

McKinney, TX

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Sylvester Thomas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sylvester Thomas Jr's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

FORESTERS ADVISORY SERVICES, LLC

FORESTERS FINANCIAL SERVICES, INC.

SECURIAN FINANCIAL SERVICES, INC.

SECURIAN FINANCIAL SERVICES, INC.

EAGLE STRATEGIES LLC

NYLIFE SECURITIES LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/24/2002

Series 65

Date: 5/8/2001

SIE

Date: 10/1/2018

Series 7

Date: 4/12/2002

Series 6

Date: 3/7/1983

Series 24

Date: 12/21/2007

Series 51

Date: 7/21/2004

Series 26

Date: 5/10/1999

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

Similar Advisors