Thomas J. Markell

CETERA INVESTMENT ADVISERS LLC

MENTOR, OH 44060

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CRD#: 1396911

Professional summary

Thomas Jesse Markell, who also goes by Thomas Markell, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Mentor, Ohio and CETERA WEALTH SERVICES, LLC located in Mentor, Ohio.

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 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas Markell

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.

LIGHTHOUSE ADVISERS, LLC POSITION: Vice President / Financial Adviser NATURE: DBA Only for Avantax Business. Retirement Planning Investments Insurance Annuities FInancial Planning Income Planning Non-Profit Small Business INVESTMENT RELATED: Yes NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 100 START DATE: 10/28/2016 ADDRESS: 8450 Mentor Ave, Mentor OH 44060, United States DESCRIPTION: Meet with clients as their trusted Adviser.. Manage Investment models Investment Committee Member Prospect new relationships

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Jesse Markell'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

September 5, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 8450 Mentor Ave Suite 100, Mentor, OH 44060

RIA

CRD#: 105644

MENTOR, OH

Current

September 5, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 8450 Mentor Ave Suite 100, Mentor, OH 44060

CRD#: 13572

Mentor, OH

Past

July 28, 2025 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

Mentor, OH

Past

July 28, 2025 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

Mentor, OH

Past

January 3, 2020 - July 30, 2025

LPL FINANCIAL LLC

RIA

CRD#: 6413

MENTOR, OH

Past

October 28, 2016 - September 10, 2025

LIGHTHOUSE ADVISERS, LLC

RIA

CRD#: 281793

MENTOR, OH

Past

October 28, 2016 - July 30, 2025

LPL FINANCIAL LLC

CRD#: 6413

MENTOR, OH

Past

January 2, 2003 - October 31, 2016

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

MENTOR, OH

Past

January 28, 2000 - October 31, 2016

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

MENTOR, OH

Past

August 28, 1992 - February 25, 2000

KEYBANC CAPITAL MARKETS INC.

CRD#: 566

CLEVELAND, OH

Past

August 21, 1985 - August 31, 1992

PARKER/HUNTER INCORPORATED

CRD#: 7324

PITTSBURGH, PA

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
(9/5/2025)

Arkansas
(9/5/2025)

California
(9/5/2025)

Florida
(9/5/2025)

Georgia
(9/5/2025)

Indiana
(10/3/2025)

Louisiana
(9/5/2025)

Maine
(9/5/2025)

Maryland
(9/5/2025)

Minnesota
(9/5/2025)

Montana
(9/5/2025)

New Mexico
(9/5/2025)

New York
(9/5/2025)

North Carolina
(9/5/2025)

Ohio
(9/5/2025)

IAR

Ohio
(9/5/2025)

Pennsylvania
(9/5/2025)

Rhode Island
(9/5/2025)

South Carolina
(9/5/2025)

Tennessee
(9/5/2025)

Texas
(9/5/2025)

IAR

Texas
(9/5/2025)

Virginia
(9/5/2025)

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: 11/19/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/19/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/17/1985

General Securities Representative 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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Thomas J. Markell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Jesse Markell's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

LPL FINANCIAL LLC

LIGHTHOUSE ADVISERS, LLC

LPL FINANCIAL LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

KEYBANC CAPITAL MARKETS INC.

PARKER/HUNTER INCORPORATED

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/19/1999

Series 63

Date: 9/19/1985

SIE

Date: 10/1/2018

Series 7

Date: 8/17/1985

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

Contact information

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