Thomas W. Brucia
CETERA INVESTMENT ADVISERS LLC
WOODBURY, NY 11797
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CRD#: 1141641
Professional summary
Thomas William Brucia, CFP®, who also goes by Jim Brucia, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Woodbury, New York and CETERA WEALTH SERVICES, LLC located in Woodbury, New York.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Thomas has worked at 12 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jim Brucia
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. POSITION AS A REGISTERED SALES ASSISTANT IN THE PRACTICE OF MARILYN STEFANS STEFANS ASSOCIATES INC / WALNUT STREET SECURITIES 40HRS/WEEKDAYS FROM BUSINESS ADDRESS SINCE 10/2010. 2. MUSICAL DIRECTOR OF A WOMEN'S CHORUS IN THE SWEET ADELINES INTERNATIONAL ORGANIZATION 370 VANDERBILT MOTOR PARKWAY, HAUPPAUGE, NY 11788, 7 EVENING/WEEKEND HOURS 7/12. 3. NAME OF OTHER BUSINESS: STEFAN ASSOCIATES INC, DBA SUMMIT TAX ADVISORS; INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: ACCOUNT AND TAX PREPARATION SERVICES; START DATE: 09/14/2016; POSITION/TITLE/RELATIONSHIP: PREPARATION SERVICES; APX NUMBER OF HOURS PER WEEK: 5 HOURS; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: ACCOUNTING AND TAX PREP SERVICES. 4. NAME OF OTHER BUSINESS: LONG ISLAND BRANCH LLC; DBA AFFILIATED WEALTH ADVISORS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: BUSINESS MANAGEMENT; START DATE: 11/01/2016; POSITION/TITLE/RELATIONSHIP: ADMIN/MARKETING SUPPORT; APX NUMBER OF HOURS PER WEEK: 1 HOUR; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: SUPPORT PARTNER IN ADMINISTRATION AND MARKETING. 5. NAME OF OTHER BUSINESS: NOTARY PUBLIC INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: NOTARY PUBLIC; START DATE: 1984; POSITION/TITLE/RELATIONSHIP: NOTARY PUBLIC; APX NUMBER OF HOURS PER WEEK: NONE; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: NOTARY PUBLIC DUTIES AND RESPONSIBILITIES; 6. NAME OF OTHER BUSINESS: SUMMIT ADVISORS OF LONG ISLAND DBA WEALTH ADVISORY ASSOCIATES ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FINANCIAL SERVICES ; START DATE: 09/2019 ; POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR ; APX NUMBER OF HOURS PER WEEK: 40 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ; BRIEF DESCRIPTION OF DUTIES: FINANCIAL ADVISOR ACTIVITIES ; 7. NAME OF OTHER BUSINESS: THE STEFANS GROUP; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: BUSINESS MARKETING; START DATE: 07/2024; 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 BRANDING AND MARKETING;
CRS (Client Relationship Summary) - RIA
Click below to view Thomas William Brucia'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: 1996
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 137 Woodbury Rd, Woodbury, NY 11797RIA
CRD#: 105644
WOODBURY, NY
Current
September 3, 2013 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 137 Woodbury Rd, Woodbury, NY 11797BD
CRD#: 13572
Woodbury, NY
Past
March 31, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
January 19, 2010 - September 3, 2013
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
WOODBURY, NY
Past
April 27, 2005 - January 11, 2010
LPL FINANCIAL LLC
RIA
CRD#: 6413
WOODBURY, NY
Past
April 27, 2005 - January 11, 2010
LPL FINANCIAL LLC
BD
CRD#: 6413
WOODBURY, NY
Past
June 4, 2003 - April 22, 2005
KIRLIN SECURITIES INC.
BD
CRD#: 21210
SYOSSET, NY
Past
March 5, 2001 - June 17, 2003
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
May 26, 2000 - January 8, 2001
PRINCETON SECURITIES CORPORATION
BD
CRD#: 21613
SYOSSET, NY
Past
July 27, 1990 - February 26, 2001
KIRLIN SECURITIES INC.
BD
CRD#: 21210
SYOSSET, NY
Past
May 21, 1990 - June 12, 1990
PRENTICE SECURITIES, INCORPORATED
BD
CRD#: 22897
HALLANDALE, FL
Past
January 29, 1990 - July 11, 1990
KIRLIN SECURITIES INC.
BD
CRD#: 21210
SYOSSET, NY
Past
September 22, 1989 - February 6, 1990
USLIFE EQUITY SALES CORP.
BD
CRD#: 7962
NEW YORK, NY
Past
September 29, 1988 - September 28, 1989
EMANUEL AND COMPANY
BD
CRD#: 7309
NEW YORK, NY
Past
January 20, 1987 - October 25, 1988
AUSTIN SECURITIES, INC.
BD
CRD#: 17094
Past
April 23, 1985 - January 30, 1986
EMR SECURITIES, INC.
BD
CRD#: 13418
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(4/22/2025)
RR
Florida(8/24/2021)
RR
New York(9/3/2013)
IAR
New York(6/29/2023)
RR
North Carolina(2/15/2022)
RR
Virginia(12/16/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
