TC
Thomas J. Clifford
CETERA INVESTMENT ADVISERS LLC
HOLBROOK, NY 11741
Some features on this profile are disabled
CRD#: 1677291
TC
Professional summary
Thomas Joseph Clifford III, ChFC® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Holbrook, New York and CETERA WEALTH SERVICES, LLC located in Holbrook, New York.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Thomas has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 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: THOMAS J. CLIFFORD, INC. ;
INVESTMENT RELATED: YES ;
ADDRESS: SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: DBA FOR TAX PURPOSES ONLY ;
POSITION/TITLE/RELATIONSHIP: OWNER ;
START DATE: 01/1997 ;
APX NUMBER OF HOURS PER WEEK: NA ;
APX NUMBER OF HOURS DURING TRADING HOURS: NA ;
BRIEF DESCRIPTION OF DUTIES: DBA FOR TAX PURPOSES ONLY
2. INDEPENDENT INSURANCE AGENT(LIFE/ACCIDENT/HEALTH) 1 SECURITIES TRADING HOURS WEEKLY, 0 NON SECURITIES TRADING HOURS WEEKLY, START DATE 5/1994
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Joseph Clifford III'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®
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 4400 Veterans Memorial Hwy Suite 203b, Holbrook, NY 11741RIA
CRD#: 105644
HOLBROOK, NY
Current
September 3, 2013 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 4400 Veterans Memorial Hwy Suite 203b, Holbrook, NY 11741BD
CRD#: 13572
Holbrook, NY
Past
April 8, 2019 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
August 1, 2003 - September 3, 2013
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
HOLBROOK, NY
Past
June 5, 1996 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
BD
CRD#: 8503
NEW YORK, NY
Past
October 2, 1995 - June 11, 1996
BERKSHIRE EQUITY SALES, INC.
BD
CRD#: 87
PITTSFIELD, 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
Arizona(9/3/2013)
RR
California(9/3/2013)
RR
Colorado(9/3/2013)
RR
Connecticut(9/3/2013)
RR
Delaware(7/23/2018)
RR
Florida(9/3/2013)
RR
Illinois(10/9/2015)
RR
Kentucky(9/3/2013)
RR
Maine(7/12/2022)
RR
Massachusetts(9/3/2013)
RR
Minnesota(9/3/2013)
RR
Nevada(9/3/2013)
RR
New Hampshire(9/3/2013)
RR
New Jersey(9/3/2013)
RR
New York(9/3/2013)
IAR
New York(6/29/2023)
RR
North Carolina(9/3/2013)
RR
Oregon(7/1/2021)
RR
Pennsylvania(9/3/2013)
RR
South Carolina(9/3/2013)
RR
Tennessee(4/7/2020)
RR
Texas(9/3/2013)
IAR
Texas(6/29/2023)
RR
Virginia(9/3/2013)
RR
Washington(9/3/2013)
RR
Wisconsin(9/3/2013)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Holbrook, NY 11741TRUST BUT VERIFY
Monitor Thomas Clifford
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
