Thomas F. Miles
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Thomas Francis Miles was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1984. Thomas had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 11, 2014 - October 31, 2018
CETERA INVESTMENT ADVISERS LLC
February 11, 2014 - October 31, 2018
CETERA INVESTMENT SERVICES LLC
October 28, 2010 - February 13, 2014
LPL FINANCIAL LLC
January 20, 2009 - February 13, 2014
LPL FINANCIAL LLC
November 26, 2002 - January 20, 2009
INVEST FINANCIAL CORPORATION
November 7, 2001 - November 29, 2002
BNY MELLON SECURITIES LLC
October 7, 2000 - November 5, 2001
M&T SECURITIES, INC.
December 23, 1996 - October 7, 2000
KEYSTONE BROKERAGE, LLC
October 4, 1995 - November 7, 1996
ALLSTATE FINANCIAL SERVICES, LLC
November 25, 1988 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
November 25, 1988 - September 29, 1995
PRUCO SECURITIES, LLC.
January 6, 1984 - August 12, 1985
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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.
