TC
Thomas J. Colbert
CETERA INVESTMENT ADVISERS LLC
BEVERLY, MA 01915
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CRD#: 1444458
TC
Professional summary
Thomas Joseph Colbert, who also goes by Tom Colbert, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Beverly, Massachusetts and CETERA WEALTH SERVICES, LLC located in Beverly, Massachusetts.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Thomas has worked at 7 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tom Colbert
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) NAME OF ENTITY: Vista Insurance Agency, Inc.; Yes; SAME AS REGISTERED LOCATION; Financial Services; President; 1/1/2000; 60; 60; Administration & Sales| 2) NAME OF ENTITY: Vista Financial Group; Yes; SAME AS REGISTERED LOCATION; Financial Services; President; 1/1/2004; 60; 60; Administration & Sales| 3) NAME OF ENTITY:CEM Realty Trust; No; SAME AS REGISTERED LOCATION; realty holding company; beneficiary; 11/5/2008; 0; 0; no duties associated with this activity| 4) NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; SAME AS REGISTERED LOCATION; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 1/1/2000; 60; 60; SALES OF FIXED INSURANCE PRODUCTS| 5) NAME OF ENTITY:LIFE SETTLEMENTS; No; SAME AS REGISTERED LOCATION; LIFE SETTLEMENTS; INDEPENDENT AGENT; 8/25/2018; 5; 5; Act as a broker to place life settlement for clients| 6) NAME OF OTHER BUSINESS: MANCHESTER HARBOR BOAT CLUB; INVESTMENT RELATED: NO; ADDRESS: MHBC, MASCONOMO PARK, MANCHESTER-BY-THE-SEA, MA 01944; NATURE OF BUSINESS: BOAT CLUB; START DATE: 12/2025; POSITION/TITLE/RELATIONSHIP: COMMODORE; APX NUMBER OF HOURS PER WEEK: 1; NOT DURING TRADING HOURS; BRIEF DESCRIPTION OF DUTIES: FACILITATE A MONTHLY BOARD OF GOVERNORS' MEETING ASSIST AT SCHEDULING CLUB SOCIAL EVENTS, RESPONDING TO MEMBER EMAILS AND OVERSEE THE OPERATIONS OF THE CLUB'S BOAT DOCKS.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Joseph Colbert'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®
NoneExperience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 100 Cummings Center Suite 363-c, Beverly, MA 01915Office #2: 963 Paine Turnpike, Unit 3-g, Berlin, VT 05602RIA
CRD#: 105644
BEVERLY, MA
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 100 Cummings Center Suite 363-c, Beverly, MA 01915Office #2: 963 Paine Turnpike, Unit 3-g, Berlin, VT 05602BD
CRD#: 13572
Beverly, MA
Past
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
January 1, 2004 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
GRAFTON, MA
Past
January 1, 2004 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
GRAFTON, MA
Past
August 14, 2003 - January 1, 2004
LOCUST STREET SECURITIES, INC.
RIA
CRD#: 1703
NORTHBORO, MA
Past
December 4, 2000 - January 1, 2004
LOCUST STREET SECURITIES, INC.
BD
CRD#: 1703
DES MOINES, IA
Past
September 25, 1990 - November 30, 2000
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
May 7, 1990 - May 13, 1997
THE PAUL REVERE VARIABLE ANNUITY INSURANCE COMPANY
BD
CRD#: 647
WORCESTER, MA
Past
March 6, 1987 - December 31, 1989
TRANSAMERICA SECURITIES SALES CORPORATION
BD
CRD#: 17970
LOS ANGELES, CA
Past
March 7, 1986 - December 31, 1989
TRANSAMERICA FINANCIAL ADVISORS, INC.
BD
CRD#: 3600
LOS ANGELES, CA
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
Alabama(6/9/2021)
RR
Alaska(6/9/2021)
RR
Arizona(6/9/2021)
RR
Arkansas(6/9/2021)
RR
California(6/9/2021)
RR
Colorado(6/9/2021)
RR
Connecticut(6/9/2021)
RR
Delaware(6/9/2021)
RR
District of Columbia(6/9/2021)
RR
Florida(8/10/2021)
RR
Georgia(6/9/2021)
RR
Hawaii(6/9/2021)
RR
Illinois(6/9/2021)
RR
Indiana(6/9/2021)
RR
Iowa(6/9/2021)
RR
Kansas(6/9/2021)
RR
Kentucky(6/9/2021)
RR
Louisiana(6/9/2021)
RR
Maine(6/9/2021)
RR
Maryland(6/9/2021)
RR
Massachusetts(6/9/2021)
IAR
Massachusetts(6/29/2023)
RR
Michigan(6/9/2021)
RR
Minnesota(6/9/2021)
RR
Mississippi(6/9/2021)
RR
Missouri(6/9/2021)
RR
Montana(6/9/2021)
RR
Nebraska(6/9/2021)
RR
Nevada(6/9/2021)
RR
New Hampshire(6/9/2021)
RR
New Jersey(6/9/2021)
RR
New Mexico(6/9/2021)
RR
New York(6/9/2021)
RR
North Carolina(6/9/2021)
RR
Ohio(6/9/2021)
RR
Oklahoma(6/9/2021)
RR
Oregon(6/9/2021)
RR
Pennsylvania(6/9/2021)
RR
Rhode Island(6/9/2021)
RR
South Carolina(6/9/2021)
RR
South Dakota(6/9/2021)
RR
Tennessee(6/9/2021)
RR
Texas(6/9/2021)
IAR
Texas(6/29/2023)
RR
Utah(6/9/2021)
RR
Vermont(6/9/2021)
IAR
Vermont(6/29/2023)
RR
Virginia(6/9/2021)
RR
Washington(6/9/2021)
RR
West Virginia(6/9/2021)
RR
Wisconsin(6/9/2021)
Exams
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
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Beverly, MA 01915TRUST BUT VERIFY
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Contact information
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