TM
Thomas E. Mertensmeyer
CETERA INVESTMENT ADVISERS LLC
SUN CITY, AZ 85351
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CRD#: 1670747
TM
Professional summary
Thomas Eugene Mertensmeyer is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Sun City, Arizona and CETERA WEALTH SERVICES, LLC located in Sun City, Arizona.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Thomas has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 7/2023; APX NUMBER OF HOURS PER WEEK: 8; APX NUMBER OF HOURS DURING TRADING HOURS: 8; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, FIXED ANNUITIES, & LONG-TERM CARE; 2. SENIOR FINANCIAL BENEFITS, INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, DBA NAME FOR FIXED INSURANCE, START 01/22/2001, 12HRS/WK (TRADING HOURS), OWNER, AGENT; 3. NAME OF OTHER BUSINESS: SENIOR FINANCIAL BENEFITS, INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED ADDRESS, NATURE OF BUSINESS: REFERRALS, START DATE: 10/2024, POSITION/TITLE/RELATIONSHIP: PLACEMENT REPRESENTATIVE/OWNER, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF HOURS DURING TRADING HOURS: 1, BRIEF DESCRIPTION OF DUTIES: HELP CERTAIN OLDER CLIENTS FIND AN INDEPENDENT LIVING OR ASSISTED LIVING FACILITY THAT THEY CAN AFFORD.; 4.NAME OF OTHER BUSINESS: AWARD REALTY; INVESTMENT RELATED: NO; ADDRESS: 13606 W CAMINO DEL SOL SUITE 109, SUN CITY WEST, AZ 85375; NATURE OF BUSINESS: REAL ESTATE; START DATE: 09/2025; POSITION/TITLE/RELATIONSHIP: REAL ESTATE AGENT; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: REPRESENT BUYERS & SELLERS OF RESIDENTIAL PROPERTY AS REAL ESTATE AGENT IF OPPORTUNITY PRESENTS ITSELF; 5. NAME OF OTHER BUSINESS: TATUM FOOTHILLS HOA; INVESTMENT RELATED: NO; ADDRESS: 1600 W BROADWAY #200 TEMPE, AZ 85282; NATURE OF BUSINESS: HOMEOWNERS ASSOCIATION; START DATE: 02/2025; POSITION/TITLE/RELATIONSHIP: HOA BOARD PRESIDENT; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: LEAD AND OVERSEE THE CARE AND MAINTENANCE OF THE COMMUNITY; 6. NAME OF OTHER BUSINESS: N/A; INVESTMENT RELATED: NO; ADDRESS: 7009 E ACOMA DR, UNIT 2171, SCOTTSDALE, AZ 85254; NATURE OF BUSINESS: CONDO RENTAL; START DATE: 11/2023; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: PROVIDE OCCASIONAL MINOR MAINTENANCE;
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Eugene Mertensmeyer'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
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 10145 W Loma Blanca Dr., Sun City, AZ 85351RIA
CRD#: 105644
SUN CITY, AZ
Current
January 30, 2001 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 10145 W Loma Blanca Dr., Sun City, AZ 85351BD
CRD#: 13572
Sun City, AZ
Past
June 15, 2016 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
SUN CITY, AZ
Past
July 18, 1996 - December 31, 2000
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
EL SEGUNDO, CA
Past
June 18, 1991 - July 10, 1996
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
Past
October 13, 1988 - December 31, 1989
LASALLE ST SECURITIES, L.L.C.
BD
CRD#: 7191
ELMHURST, IL
Past
September 24, 1987 - May 5, 1988
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
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
Arizona(1/30/2001)
IAR
Arizona(6/29/2023)
RR
California(5/29/2001)
RR
Colorado(4/21/2015)
RR
Florida(12/5/2014)
RR
Louisiana(7/27/2021)
RR
Maryland(2/15/2019)
RR
Michigan(4/20/2012)
RR
Mississippi(6/25/2018)
RR
Missouri(6/4/2024)
RR
Nebraska(4/29/2013)
RR
New Mexico(1/3/2018)
RR
Oregon(4/22/2022)
RR
Pennsylvania(1/3/2024)
RR
Texas(5/10/2018)
IAR
Texas(6/29/2023)
RR
Washington(2/28/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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
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.
