Thomas J. Bastian

CETERA INVESTMENT ADVISERS LLC

GILBERT, AZ 85234

Some features on this profile are disabled

CRD#: 1397252

Professional summary

Thomas J Bastian, who also goes by Thomas J. Bastian, Thomas James Bastian, Thomas Bastian, Tom Bastian, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Gilbert, Arizona and CETERA WEALTH SERVICES, LLC located in Gilbert, Arizona.

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 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas J. Bastian | Thomas James Bastian | Thomas Bastian | Tom Bastian

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.

NAME OF ENTITY:Bastian Financial Services, LLC; Yes; 2643 S. LARKSPUR ST; GILBERT; AZ; 85295; FINANCIAL SERVICES/DBA; OWNER/PRESIDENT; 4/7/2009; 1; 0; SELL OF FIXED INSURANCE, SECURITIES AND INVESTMENT PRODUCTS|NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 1820 E RAY RD; CHANDLER; AZ; 85295; Fixed Insurance Sales; Independent Insurance Agent; 2/4/2009; 160; 160; Sales of Fixed Insurance|

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas J Bastian'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 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 313 N Gilbert Rd Suite 200, Gilbert, AZ 85234

RIA

CRD#: 105644

GILBERT, AZ

Current

June 9, 2021 - Present

CETERA WEALTH SERVICES, LLC

CRD#: 13572

GILBERT, AZ

Past

June 9, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

CHANDLER, AZ

Past

March 6, 2009 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

CRD#: 5167

NEW YORK, NY

Past

January 4, 1993 - December 31, 1994

CONSECO FINANCIAL SERVICES, INC.

CRD#: 629

CARMEL, IN

Past

July 18, 1990 - January 4, 1991

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

May 22, 1990 - July 18, 1990

KFS BD, INC.

CRD#: 490

OMAHA, NE

Past

October 2, 1985 - July 23, 1990

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

CRD#: 611

OMAHA, NE

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
(6/9/2021)

IAR

Arizona
(6/29/2023)

Arkansas
(5/16/2024)

Colorado
(6/9/2021)

Florida
(1/11/2022)

Michigan
(6/9/2021)

Minnesota
(1/2/2025)

Missouri
(1/2/2025)

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: 9/18/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/27/1985

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: 5/19/1990

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/26/1985

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/14/2008

General 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)

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

Joseph Di Vito

RBC CAPITAL MARKETS, LLC

IAR

Scottsdale, AZ

Luke Kacer

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Tucson, AZ

Teddy Nganga

VANGUARD MARKETING CORPORATION

Scottsdale, AZ

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Thomas J. Bastian

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas J Bastian's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

BANC OF AMERICA INVESTMENT SERVICES, INC.

EAGLE ASSET MANAGEMENT INC

BANC OF AMERICA INVESTMENT SERVICES, INC.

BA INVESTMENT SERVICES, INC.

NYLIFE SECURITIES LLC

CONSECO FINANCIAL SERVICES, INC.

WALNUT STREET SECURITIES, INC.

KFS BD, INC.

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/18/1997

Series 63

Date: 7/27/1985

SIE

Date: 10/1/2018

Series 7

Date: 5/19/1990

Series 6

Date: 9/26/1985

Series 24

Date: 10/14/2008

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