TG
Thomas M. Gale
CETERA INVESTMENT ADVISERS LLC
GLEN MILLS, PA 19342
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CRD#: 1858322
TG
Professional summary
Thomas Michael Gale is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Glen Mills, Pennsylvania and CETERA WEALTH SERVICES, LLC located in Glen Mills, Pennsylvania.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Thomas has worked at 11 firms and has passed the Series 63, SIE and Series 6 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) THOMAS M. GALE; SINCE 10/1989; 254 BARREN HILL RD, CONSHOHOCKEN, PA 19428; AGENT; ANALYZE CLIENTS NEEDS BASED UPON TOTAL FINANCIAL PICTURE AND MAKE APPROPRIATE RECOMMENDATIONS. 80 HOURS SPENT ON ACTIVITY PER MONTH, 4 HOURS DURING TRADING HOURS (2) BARREN HILL ADVISORS; SINCE 05/12/2012; 254 BARREN HILL RD, CONSHOHOCKEN, PA 19428; OWNER; Provide insurance solutions with the products of life insurance, disability and long term care. 80 HOURS SPENT ON ACTIVITY PER MONTH, 3 HOURS SPENT ON ACTIVITY DURING TRADING HOURS (3) ROYCROFT FINANCIAL GROUP; SINCE 05/05/2014; SAME AS BRANCH ADDRESS; REGISTERED REPRESENTATIVE; Provide securities and investment related services to clients. 80 HOURS SPENT ON ACTIVITY PER MONTH, 80 HOURS SPENT ON ACTIVITY DURING TRADING HOURS (4) NAME OF OTHER BUSINESS: THOMAS GALE; INVESTMENT RELATED: NO; ADDRESS: 614 PLUM STREET CAPE CHARLES, VA 23310; NATURE OF BUSINESS: REAL ESTATE RENTAL; START DATE: 12/2024; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: RESPOND TO MAINTENANCE, UPGRADE REQUESTS, MANAGE UTILITY SERVICES AND REPAIRS;
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Michael Gale'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
October 19, 2015 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 205 Baltimore Pike 2nd Floor, Glen Mills, PA 19342RIA
CRD#: 105644
GLEN MILLS, PA
Current
September 20, 2019 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 205 Baltimore Pike 2nd Floor, Glen Mills, PA 19342BD
CRD#: 13572
GLEN MILLS, PA
Past
September 17, 2015 - September 20, 2019
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
GLEN MILLS, PA
Past
May 27, 2014 - November 13, 2015
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC
RIA
CRD#: 124446
GLENOLDEN, PA
Past
May 27, 2014 - September 29, 2015
J.P. TURNER & COMPANY, L.L.C.
BD
CRD#: 43177
Glen Mills, PA
Past
August 31, 2012 - May 30, 2014
REALTA INVESTMENT ADVISORS, INC
RIA
CRD#: 134952
WILMINGTON, DE
Past
July 9, 2012 - May 30, 2014
REALTA EQUITIES, INC.
BD
CRD#: 23769
WILMINGTON, DE
Past
May 1, 2009 - May 14, 2012
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
KING OF PRUSSIA, PA
Past
August 21, 2008 - May 14, 2012
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
KING OF PRUSSIA, PA
Past
October 7, 2005 - March 20, 2008
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
CONSHOHOCKEN, PA
Past
October 8, 1999 - September 8, 2005
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
CONSHOHOCKEN, PA
Past
September 23, 1996 - October 11, 1999
SECURITY FINANCIAL NETWORK, LLC
BD
CRD#: 10825
PHOENIXVILLE, PA
Past
September 29, 1989 - August 9, 1996
EQUITY SERVICES, INC.
BD
CRD#: 265
MONTPELIER, VT
Past
July 21, 1988 - July 25, 1989
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
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
Florida(9/21/2019)
RR
New Jersey(9/20/2019)
IAR
Pennsylvania(10/19/2015)
RR
Pennsylvania(9/20/2019)
Exams
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
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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.
