Thomas D. Fisher

CETERA INVESTMENT ADVISERS LLC

HUDSON, MA 01749

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CRD#: 1528669

Professional summary

Thomas David Fisher, CFP®, who also goes by Tom Fisher, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Hudson, Massachusetts and CETERA WEALTH SERVICES, LLC located in Hudson, 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 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tom Fisher

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: 02/1991 APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS 5 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG-TERM CAR 2. NAME OF OTHER BUSINESS: TRUE WEALTH ADVISOR GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 01/2023 POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas David Fisher'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: 1994

Experience

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1 Cabot Rd #225, Hudson, MA 01749

RIA

CRD#: 105644

HUDSON, MA

Current

February 1, 2023 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 1 Cabot Rd #225, Hudson, MA 01749

CRD#: 13572

Hudson, MA

Past

February 7, 2023 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

Hudson, MA

Past

November 28, 2017 - February 3, 2023

OSAIC SERVICES, INC.

RIA

CRD#: 133763

HUDSON, MA

Past

November 28, 2017 - February 3, 2023

OSAIC SERVICES, INC.

CRD#: 133763

HUDSON, MA

Past

July 2, 2007 - November 28, 2017

SII INVESTMENTS, INC.

RIA

CRD#: 2225

WESTBOROUGH, MA

Past

June 29, 2007 - November 28, 2017

SII INVESTMENTS, INC.

CRD#: 2225

WESTBOROUGH, MA

Past

July 16, 1999 - July 2, 2007

LEGACY ADVISORY SERVICES, INC.

RIA

CRD#: 111027

MILFORD, MA

Past

January 3, 1997 - July 2, 2007

LEGACY FINANCIAL SERVICES, INC.

CRD#: 38697

PEABODY, MA

Past

December 20, 1995 - December 31, 1996

INVESTORS CAPITAL CORP.

CRD#: 30613

LYNNFIELD, MA

Past

April 26, 1993 - December 31, 1993

CETERA ADVISORS LLC

CRD#: 10299

GREENWOOD VILLAGE, CO

Past

July 23, 1986 - April 7, 1993

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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
(2/1/2023)

California
(2/21/2024)

Florida
(2/1/2023)

Maine
(2/1/2023)

Maryland
(2/1/2023)

Massachusetts
(2/1/2023)

IAR

Massachusetts
(6/29/2023)

New Hampshire
(2/1/2023)

New Jersey
(2/1/2023)

New York
(2/24/2023)

Pennsylvania
(2/1/2023)

Rhode Island
(3/30/2023)

South Carolina
(5/11/2023)

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

IAR

Series 65

Date: 5/28/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/30/1986

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: 7/19/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/20/1997

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)

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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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Thomas D. Fisher

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas David Fisher's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

SII INVESTMENTS, INC.

SII INVESTMENTS, INC.

LEGACY ADVISORY SERVICES, INC.

LEGACY FINANCIAL SERVICES, INC.

INVESTORS CAPITAL CORP.

CETERA ADVISORS LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/28/1999

Series 63

Date: 7/30/1986

SIE

Date: 10/1/2018

Series 7

Date: 7/19/1986

Series 24

Date: 5/20/1997

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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