Thomas E. Ryan

CETERA INVESTMENT ADVISERS LLC

EL SEGUNDO, CA 90245

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CRD#: 1246212

Professional summary

Thomas Edward Ryan III, who also goes by Thomas Ryan, Tom Ryan, Thomas Edward Ryan III, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in El Segundo, California and CETERA WEALTH SERVICES, LLC located in El Segundo, California.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Thomas has worked at 20 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 3, Series 7, Series 24, Series 4 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas Ryan | Tom Ryan | Thomas Edward Ryan Iii

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.

ASSETMARK FINANCIAL HOLDINGS, INC. (PARENT COMPANY) - IN CONCORD, CA - INVESTMENT RELATED - EMPLOYMENT START DATE 05/2022 - 160 HOURS/MONTHLY, VICE PRESIDENT, BUSINESS CONSULTING OF ASSETMARK, INC. - A REGISTEERED INVESTMENT ADVISER - IN CONCORD, CA - AFFILIATE OF ASSETMARK BROKERAGE, LLC. - INVESTMENT RELATED

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Edward Ryan 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

June 10, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

RIA

CRD#: 105644

EL SEGUNDO, CA

Current

May 12, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

CRD#: 13572

El Segundo, CA

Past

October 11, 2022 - August 21, 2024

ASSETMARK, INC.

RIA

CRD#: 109018

Jacksonville, FL

Past

August 4, 2022 - August 21, 2024

ASSETMARK BROKERAGE, LLC

CRD#: 169804

CONCORD, CA

Past

April 15, 2022 - April 28, 2022

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

August 28, 2019 - December 31, 2019

SORRENTO PACIFIC FINANCIAL, LLC

RIA

CRD#: 127787

Greer, SC

Past

August 28, 2019 - December 31, 2019

CUSO FINANCIAL SERVICES, L.P.

RIA

CRD#: 42132

Ft Lauderdale, FL

Past

August 28, 2019 - December 31, 2019

CADARET, GRANT & CO., INC.

RIA

CRD#: 10641

Ft Lauderdale, FL

Past

August 28, 2019 - October 1, 2021

SORRENTO PACIFIC FINANCIAL, LLC

CRD#: 127787

SAN DIEGO, CA

Past

August 28, 2019 - October 1, 2021

CUSO FINANCIAL SERVICES, L.P.

CRD#: 42132

SAN DIEGO, CA

Past

August 28, 2019 - October 1, 2021

CADARET, GRANT & CO., INC.

CRD#: 10641

SYRACUSE, NY

Past

September 27, 2016 - October 1, 2021

NEXT FINANCIAL GROUP, INC.

RIA

CRD#: 46214

Fort Lauderdale, FL

Past

September 20, 2016 - October 1, 2021

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

HOUSTON, TX

Past

February 20, 2009 - December 17, 2014

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

GREENVILLE, SC

Past

June 2, 2006 - June 27, 2007

SOUTH GROUP INVESTMENT SERVICES, INC.

CRD#: 35843

GREENVILLE, SC

Past

September 13, 2005 - June 3, 2006

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

GREENVILLE, SC

Past

September 19, 2001 - October 27, 2004

CHARTER ONE SECURITIES, INC.

CRD#: 13373

CLEVELAND, OH

Past

November 10, 1997 - September 4, 2001

LASALLE FINANCIAL SERVICES, INC.

CRD#: 20373

CHICAGO, IL

Past

April 18, 1996 - April 8, 1998

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

LINCOLN, NE

Past

March 13, 1994 - April 30, 1996

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

CRD#: 487

CHARLOTTE, NC

Past

December 12, 1991 - September 21, 1993

AMUNDI DISTRIBUTOR US, INC.

CRD#: 24497

BOSTON, MA

Past

August 24, 1989 - July 11, 1991

EMPIRE NATIONAL SECURITIES, INCORPORATED

CRD#: 7361

Past

January 19, 1988 - June 20, 1988

WAMU INVESTMENTS, INC.

CRD#: 599

Past

September 30, 1985 - December 15, 1987

CITICORP SECURITIES, INC.

CRD#: 7474

Past

March 22, 1984 - June 26, 1985

LEHMAN BROTHERS INC.

CRD#: 7506

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
(5/13/2025)

IAR

Florida
(6/10/2025)

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: 5/9/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/24/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 5/12/2025

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 4/23/1984

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 3/17/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/14/1988

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 4/11/1988

Registered Options Principal Examination

Principal/Supervisory Exam

Series 53

Date: 12/4/1985

Municipal 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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Advisor Monitoring

Firm Stability Insights

Thomas E. Ryan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Edward Ryan III's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

ASSETMARK, INC.

ASSETMARK BROKERAGE, LLC

FIDELITY BROKERAGE SERVICES LLC

SORRENTO PACIFIC FINANCIAL, LLC

CUSO FINANCIAL SERVICES, L.P.

CADARET, GRANT & CO., INC.

SORRENTO PACIFIC FINANCIAL, LLC

CUSO FINANCIAL SERVICES, L.P.

CADARET, GRANT & CO., INC.

NEXT FINANCIAL GROUP, INC.

NEXT FINANCIAL GROUP, INC.

ALLSTATE FINANCIAL SERVICES, LLC

SOUTH GROUP INVESTMENT SERVICES, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

CHARTER ONE SECURITIES, INC.

LASALLE FINANCIAL SERVICES, INC.

ALLSTATE FINANCIAL SERVICES, LLC

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

AMUNDI DISTRIBUTOR US, INC.

EMPIRE NATIONAL SECURITIES, INCORPORATED

WAMU INVESTMENTS, INC.

CITICORP SECURITIES, INC.

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/9/2016

Series 63

Date: 4/24/1984

Series 52TO

Date: 5/12/2025

SIE

Date: 10/1/2018

Series 3

Date: 4/23/1984

Series 7

Date: 3/17/1984

Series 24

Date: 6/14/1988

Series 4

Date: 4/11/1988

Series 53

Date: 12/4/1985

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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