TH
Thomas W. Halloran
CETERA INVESTMENT ADVISERS LLC
WELLESLEY, MA
Some features on this profile are disabled
CRD#: 1921834
TH
Professional summary
Thomas William Halloran, who also goes by Thomas W Halloran, Thomas William Halloran, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Wellesley, Massachusetts and CETERA WEALTH SERVICES, LLC located in El Segundo, California.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Thomas has worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6, Series 51, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas W Halloran | Thomas William Halloran
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 ENTITY:GOOD SPORTS; No; 1515 HANCOCK ST; QUINCY; MA; 2169; NON-PROFIT; HOST COMMITTEE MEMBER; 5/19/2014; 5; 0; ATTEND MEETINGS & EVENTS. 2) NAME OF ENTITY:THOMAS HALLORAN-AUTHOR; No; 14 ALLEN ROAD; WELLESLEY; MA; 02481; CHILDRENS BOOK; AUTHOR; 8/19/2019; 1; 0; KINDLE SELF-PUBLISHING CHILDRENS BOOK. 3) NAME OF ENTITY:JUNIOR ACHIEVEMENT OF NORTHERN NEW ENGLAND; NO; 209 BURLINGTON ROAD SUITE 211, BEDFORD, MA 01770; NON-PROFIT ORGANIZATION; BOARD MEMBER; 4/1/2017; 3; 1; PROVIDE INPUT ON FUNDRAISING ACTIVITIES, MAKE INTRODUCTIONS. 4) NAME OF OTHER BUSINESS: N/A, INVESTMENT RELATED: NO, ADDRESS: 1313 LITTLE BLUE HARBOR CT, NAPLES, FL, 34104, NATURE OF BUSINESS: FOCUS GROUPS, START DATE:01/2022, POSITION/TITLE/RELATIONSHIP: CONSULTANT, APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, BRIEF DESCRIPTION OF DUTIES: PARTICIPATING IN PAID FOCUS GROUPS ABOUT FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Thomas William Halloran'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 #2: 1313 Little Blue Heron Ct, Naples, FL 34108RIA
CRD#: 105644
WELLESLEY, MA
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245BD
CRD#: 13572
El Segundo, CA
Current
January 3, 2024 - Present
CETERA ADVISORS LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245BD
CRD#: 10299
El Segundo, CA
Past
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
November 25, 2013 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
WINDSOR, CT
Past
November 18, 2013 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
December 23, 2010 - November 22, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
BOSTON, MA
Past
December 23, 2010 - November 22, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
BOSTON, MA
Past
May 27, 2008 - November 10, 2009
PUTNAM INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 106629
BOSTON, MA
Past
April 20, 1989 - November 10, 2009
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
BD
CRD#: 7325
ANDOVER, 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
Alabama(6/9/2021)
RR
Alaska(6/9/2021)
RR
Arizona(6/9/2021)
RR
Arkansas(6/9/2021)
RR
California(6/9/2021)
RR
Colorado(6/9/2021)
RR
Connecticut(6/9/2021)
RR
Delaware(6/9/2021)
RR
District of Columbia(6/9/2021)
RR
Florida(6/10/2021)
RR
Georgia(6/9/2021)
RR
Hawaii(6/9/2021)
RR
Idaho(6/9/2021)
RR
Illinois(6/9/2021)
RR
Indiana(6/9/2021)
RR
Iowa(6/9/2021)
RR
Kansas(6/9/2021)
RR
Kentucky(6/9/2021)
RR
Louisiana(6/9/2021)
RR
Maine(6/9/2021)
RR
Maryland(6/9/2021)
RR
Massachusetts(6/9/2021)
IAR
Massachusetts(6/29/2023)
RR
Michigan(6/9/2021)
RR
Minnesota(6/9/2021)
RR
Mississippi(6/9/2021)
RR
Missouri(6/9/2021)
RR
Montana(6/9/2021)
RR
Nebraska(6/9/2021)
RR
Nevada(6/9/2021)
RR
New Hampshire(6/9/2021)
RR
New Jersey(6/9/2021)
RR
New Mexico(6/9/2021)
RR
New York(6/9/2021)
RR
North Carolina(6/9/2021)
RR
North Dakota(6/9/2021)
RR
Ohio(6/9/2021)
RR
Oklahoma(6/9/2021)
RR
Oregon(6/9/2021)
RR
Pennsylvania(6/9/2021)
RR
Puerto Rico(6/9/2021)
RR
Rhode Island(6/9/2021)
RR
South Carolina(6/9/2021)
RR
South Dakota(6/9/2021)
RR
Tennessee(6/9/2021)
RR
Texas(6/9/2021)
IAR
Texas(6/29/2023)
RR
Utah(6/9/2021)
RR
Vermont(6/9/2021)
RR
Virgin Islands(6/9/2021)
RR
Virginia(6/9/2021)
RR
Washington(6/9/2021)
RR
West Virginia(6/9/2021)
RR
Wisconsin(6/9/2021)
RR
Wyoming(6/9/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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
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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.
