Thomas F. Bennett

CETERA INVESTMENT ADVISERS LLC

CONCORD, CA 94520

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CRD#: 1485243

Professional summary

Thomas Francis Bennett JR, CFP®, who also goes by Tom Bennett Jr, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Concord, California and CETERA WEALTH SERVICES, LLC located in Concord, California.

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 12 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 7, Series 6, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tom Bennett Jr

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 OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 01/1986; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 2; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, DISABILITY, ANNUITIES AND LONG-TERM CARE; 2. NAME OF OTHER BUSINESS: SUCCESSOR TRUSTEE; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: PARENTS TRUST; START DATE: 05/2003; POSITION/TITLE/RELATIONSHIP: SUCCESSOR TRUSTEE; APX NUMBER OF HOURS PER WEEK: NONE; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: UPON THEIR DEATHS I'M THE SUCCESSOR TRUSTEE; 3. NAME OF OTHER BUSINESS: DAVID WILLETT FINANCIAL; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 04/2021; POSITION/TITLE/RELATIONSHIP: OPERATIONS MANAGER; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 40; BRIEF DESCRIPTION OF DUTIES: OPERATIONS, FINANCIAL SERVICES;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Francis Bennett JR'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®

CFP^®

Certified Financial Planner

Start date: 2009

Experience

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1390 Willow Pass Rd Ste 900, Concord, CA 94520

RIA

CRD#: 105644

CONCORD, CA

Current

August 25, 2022 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 1390 Willow Pass Rd Ste 900, Concord, CA 94520Office #2: 541 E Chapman Ave #a1, Orange, CA 92866

CRD#: 13572

Concord, CA

Past

May 13, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

November 29, 2017 - April 17, 2018

LPL FINANCIAL LLC

RIA

CRD#: 6413

IRVINE, CA

Past

November 29, 2017 - December 6, 2018

LPL FINANCIAL LLC

CRD#: 6413

IRVINE, CA

Past

November 23, 2015 - May 17, 2021

TRILOGY CAPITAL, INC.

RIA

CRD#: 281597

Irvine, CA

Past

May 11, 2011 - November 29, 2017

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

IRVINE, CA

Past

March 4, 2011 - November 29, 2017

NATIONAL PLANNING CORPORATION

CRD#: 29604

IRVINE, CA

Past

January 22, 2007 - November 4, 2010

CUNA BROKERAGE SERVICES, INC.

RIA

CRD#: 13941

SANTA ANA, CA

Past

January 22, 2007 - November 4, 2010

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

SANTA ANA, CA

Past

May 13, 2002 - January 24, 2007

CUSO FINANCIAL SERVICES, L.P.

RIA

CRD#: 42132

SANTA ANA, CA

Past

May 13, 2002 - January 24, 2007

CUSO FINANCIAL SERVICES, L.P.

CRD#: 42132

SANTA ANA, CA

Past

February 14, 2002 - May 14, 2002

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

WAVERLY, IA

Past

March 1, 1999 - February 13, 2002

CUSO FINANCIAL SERVICES, L.P.

CRD#: 42132

SAN DIEGO, CA

Past

March 21, 1998 - March 12, 1999

FIRST BROKERAGE AMERICA, L.L.C.

CRD#: 43431

CLAYTON, MO

Past

February 8, 1993 - February 26, 1998

FIMCO SECURITIES GROUP, INC.

CRD#: 30343

PORT WASHINGTON, WI

Past

June 20, 1988 - January 30, 1990

FREEMAN FINANCIAL SERVICES CORPORATION

CRD#: 6722

SAN MATEO, CA

Past

June 12, 1986 - May 25, 1988

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

Past

June 12, 1986 - June 2, 1988

EQUITABLE ADVISORS, LLC

CRD#: 6627

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

California
(9/19/2022)

IAR

California
(6/29/2023)

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

Series 63

Date: 9/13/2022

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/1/1999

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/25/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/2/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/3/1993

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/29/2003

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 8/15/1996

Investment Company Products/Variable Contracts 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 F. Bennett

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Francis Bennett JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

TRILOGY CAPITAL, INC.

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

CUNA BROKERAGE SERVICES, INC.

CUNA BROKERAGE SERVICES, INC.

CUSO FINANCIAL SERVICES, L.P.

CUSO FINANCIAL SERVICES, L.P.

CUNA BROKERAGE SERVICES, INC.

CUSO FINANCIAL SERVICES, L.P.

FIRST BROKERAGE AMERICA, L.L.C.

FIMCO SECURITIES GROUP, INC.

FREEMAN FINANCIAL SERVICES CORPORATION

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/13/2022

Series 65

Date: 12/1/1999

Series 7TO

Date: 8/25/2022

SIE

Date: 10/1/2018

Series 7

Date: 4/2/1997

Series 6

Date: 2/3/1993

Series 24

Date: 10/29/2003

Series 26

Date: 8/15/1996

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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