Thomas L. Neilan

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CRD#: 1590768

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Thomas Leo Neilan was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1986. Thomas had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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) CCR WEALTH MANAGEMENT, SAME AS OFFICE ADDRESS, DBA FOR SECURITIES BUSINESS AND FIXED INSURANCE. 2) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FIXED INSURANCE ; START DATE: 05/2019 ; APX NUMBER OF HOURS PER WEEK: 4 ; APX NUMBER OF HOURS DURING TRADING HOURS: 4 ; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT ; BRIEF DESCRIPTION OF DUTIES: SELLS HEALTH INSURANCE ; 3) NAME OF OTHER BUSINESS: LORRAINE W BUTLER DECLARATION OF TRUST FBO LORA COUTURE; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: TRUST ADMINISTRATION; START DATE: 10/2019; POSITION/TITLE/RELATIONSHIP: TRUSTEE; APX NUMBER OF HOURS PER WEEK: LESS THAN 1 HOUR; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1 HOUR; BRIEF DESCRIPTION OF DUTIES: TRUST ADMINISTRATION;

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

March 21, 2024 - June 7, 2024

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

WESTBOROUGH, MA

Past

September 29, 2005 - March 22, 2024

CETERA ADVISORS LLC

RIA

CRD#: 10299

WESTBOROUGH, MA

Past

September 29, 2005 - June 7, 2024

CETERA ADVISORS LLC

CRD#: 10299

WESTBOROUGH, MA

Past

July 1, 2002 - September 13, 2005

WEBSTER INVESTMENT SERVICES, INC.

RIA

CRD#: 46588

WATERFORD, CT

Past

June 25, 2002 - September 13, 2005

WEBSTER INVESTMENT SERVICES, INC.

CRD#: 46588

KENSINGTON, CT

Past

January 4, 1996 - July 1, 2002

OHANESIAN / LECOURS, INC.

CRD#: 23757

WEST HARTFORD, CT

Past

August 25, 1989 - January 11, 1996

BUELL SECURITIES CORP.

CRD#: 1342

GLASTONBURY, CT

Past

January 3, 1989 - October 11, 1990

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

June 3, 1988 - January 3, 1989

LINCOLN NATIONAL PENSION INSURANCE COMPANY

CRD#: 10293

Past

July 16, 1987 - July 31, 1989

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

WALTHAM, MA

Past

November 21, 1986 - July 15, 1987

MONEY CONCEPTS CAPITAL CORP

CRD#: 12963

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/1/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/2/1990

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: 11/15/1986

General Securities Representative Examination

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 L. Neilan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA ADVISORS LLC

WEBSTER INVESTMENT SERVICES, INC.

WEBSTER INVESTMENT SERVICES, INC.

OHANESIAN / LECOURS, INC.

BUELL SECURITIES CORP.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

LINCOLN NATIONAL PENSION INSURANCE COMPANY

COMMONWEALTH FINANCIAL NETWORK

MONEY CONCEPTS CAPITAL CORP

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/1/1996

Series 63

Date: 8/2/1990

SIE

Date: 10/1/2018

Series 7

Date: 11/15/1986

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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