TB
Thomas A. Bray
CETERA INVESTMENT ADVISERS LLC
ORLANDO, FL 32819
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CRD#: 1513822
TB
Professional summary
Thomas Allen Bray, who also goes by Thomas Bray, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Orlando, Florida and CETERA WEALTH SERVICES, LLC located in Winter Garden, Florida.
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 66, Series 65, Series 63, SIE, Series 7, Series 6, Series 9, Series 10 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas Bray
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. INDEPENDENT INSURANCE AGENT WATERSTONE FINANCIAL LLC FROM BUSINESS ADDRESS DISABILITY, FIXED ANNUITIES, LIFE/ACCIDENT/HEALTH, LONG-TERM CARE, BEGAN 01/2004, 20HRS/WKDY 5HRS/WKEND.
2. NAME OF OTHER BUSINESS: DBA WATERSTONE FINANCIAL GROUP, LLC.
INVESTMENT RELATED: YES
ADDRESS: SAME AS REGISTERED / RESIDENTIAL
NATURE OF BUSINESS: FINANCIAL SERVICES / INSURANCE
START DATE: 03/14/2016
POSITION/TITLE/RELATIONSHIP: IAR/ REGISTERED REPRESENTATIVE
APX NUMBER OF HOURS PER WEEK: 40
APX NUMBER OF HOURS DURING TRADING HOURS: 32.5
BRIEF DESCRIPTION OF DUTIES: SALES AND ADMINISTRATIVE.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Allen Bray'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
April 9, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 7380 W Sand Lake Rd #500, Orlando, FL 32819RIA
CRD#: 105644
ORLANDO, FL
Current
September 3, 2013 - Present
CETERA WEALTH SERVICES, LLC
Office #2: 7380 W Sand Lake Rd #500, Orlando, FL 32819BD
CRD#: 13572
WINTER GARDEN, FL
Past
September 3, 2013 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
ST LOUIS, MO
Past
April 20, 2007 - September 3, 2013
WALNUT STREET SECURITIES, INC.
RIA
CRD#: 15840
ST LOUIS, MO
Past
January 30, 2004 - September 3, 2013
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
ST LOUIS, MO
Past
July 12, 1996 - January 22, 2004
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
March 29, 1995 - November 17, 1995
MARKET STREET SECURITIES, INC.
BD
CRD#: 32519
Past
April 4, 1990 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
April 4, 1990 - April 4, 1995
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
June 27, 1986 - April 13, 1989
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
BD
CRD#: 5774
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(9/3/2013)
RR
Alaska(9/3/2013)
RR
Arizona(9/3/2013)
RR
Arkansas(9/3/2013)
RR
California(9/3/2013)
RR
Colorado(9/3/2013)
RR
Connecticut(9/3/2013)
RR
Delaware(9/3/2013)
RR
Florida(9/3/2013)
IAR
Florida(4/9/2023)
RR
Georgia(9/3/2013)
RR
Hawaii(9/3/2013)
RR
Idaho(9/3/2013)
RR
Illinois(9/3/2013)
RR
Indiana(9/3/2013)
RR
Iowa(9/3/2013)
RR
Kansas(9/3/2013)
RR
Kentucky(9/3/2013)
RR
Louisiana(9/3/2013)
RR
Maryland(9/3/2013)
RR
Massachusetts(9/3/2013)
RR
Michigan(9/3/2013)
RR
Minnesota(9/3/2013)
RR
Mississippi(9/3/2013)
RR
Missouri(9/3/2013)
RR
Montana(9/3/2013)
RR
Nebraska(9/3/2013)
RR
Nevada(9/3/2013)
RR
New Hampshire(9/3/2013)
RR
New Jersey(9/3/2013)
RR
New Mexico(9/3/2013)
RR
New York(9/3/2013)
RR
North Carolina(9/3/2013)
RR
North Dakota(9/3/2013)
RR
Ohio(9/3/2013)
RR
Oklahoma(9/3/2013)
RR
Oregon(9/3/2013)
RR
Pennsylvania(9/3/2013)
RR
Rhode Island(9/3/2013)
RR
South Carolina(9/3/2013)
RR
South Dakota(9/3/2013)
RR
Tennessee(1/3/2019)
RR
Texas(9/3/2013)
IAR
Texas(6/29/2023)
RR
Utah(9/3/2013)
RR
Virginia(9/3/2013)
RR
Washington(9/3/2013)
RR
West Virginia(9/3/2013)
RR
Wisconsin(9/3/2013)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General 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
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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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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Orlando, FL 32819TRUST BUT VERIFY
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