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AT

Augustus R. Thompson

CETERA INVESTMENT ADVISERS
DURHAM, NC 27707
Some features on this profile are disabled
CRD#: 1556634
AT

Professional summary

Augustus Roscoe Thompson JR, CFP®, who also goes by Augustus Thompson, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Durham, North Carolina and CETERA FINANCIAL SPECIALISTS LLC located in Durham, North Carolina.

Augustus is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Augustus has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Augustus Thompson

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Augustus Roscoe Thompson 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: 1989

Experience

Current

January 8, 2015 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 3622 Lyckan Parkway Suite 4001, Durham, NC 27707
RIA
CRD#: 105644
DURHAM, NC
Current

January 8, 2015 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 3622 Lyckan Parkway Suite 4001, Durham, NC 27707
BD
CRD#: 10358
Durham, NC
Past

August 2, 2010 - January 6, 2015

LINCOLN INVESTMENT

RIA
CRD#: 519
DURHAM, NC
Past

August 2, 2010 - January 6, 2015

LINCOLN INVESTMENT

BD
CRD#: 519
DURHAM, NC
Past

February 6, 2008 - August 2, 2010

MM ASCEND LIFE INVESTOR SERVICES, LLC

RIA
CRD#: 36451
DURHAM, NC
Past

January 17, 1997 - August 2, 2010

MM ASCEND LIFE INVESTOR SERVICES, LLC

BD
CRD#: 36451
DURHAM, NC
Past

January 1, 1996 - December 31, 1996

IFG NETWORK SECURITIES, INC.

BD
CRD#: 19948
ATLANTA, GA
Past

January 3, 1990 - January 1, 1996

COMPREHENSIVE FINANCIAL SERVICES, INC.

BD
CRD#: 22710
Past

November 18, 1986 - December 31, 1989

MUTUAL SERVICE CORPORATION

BD
CRD#: 4806
BOSTON, MA

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
District of Columbia
(1/8/2015)
RR
Maryland
(1/8/2015)
RR
Massachusetts
(8/12/2021)
RR
North Carolina
(1/8/2015)
IAR
North Carolina
(1/8/2015)
RR
Virginia
(1/8/2015)

Exams

State Security Law Exam
RR
Series 63
Date: 8/20/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/20/1986
General Securities Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 5/1/1986
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/27/1986
Investment Company Products/Variable Contracts Representative Examination
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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644Durham, NC 27707

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