TD
Thomas J. Dufresne
CETERA INVESTMENT ADVISERS LLC
MINNETONKA, MN 55305
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CRD#: 1968628
TD
Professional summary
Thomas Joseph Dufresne is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Minnetonka, Minnesota and CETERA WEALTH SERVICES, LLC located in Saint Paul, Minnesota.
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 63, Series 52TO, SIE, Series 7, Series 53, Series 51 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. ADVISORNET FINANCIAL, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FINANCIAL SERVICES, STARTED 8/2015, SUPERVISOR, APX 40 HOURS PER WEEK, 32.5 DURING TRADING HOURS, SUPERVISING REGISTERED REPS.
2. NAME OF OTHER BUSINESS: DUFRESNE INVESTMENTS FAMILY PARTNERSHIP
INVESTMENT RELATED: YES
ADDRESS: 5407 HOLIDAY ROAD. MINNETONKA, MN 55345
NATURE OF BUSINESS: FAMILY LIMITED PARTNERSHIP
START DATE: 1993
POSITION/TITLE/RELATIONSHIP: MANAGING PARTNER
APX NUMBER OF HOURS PER WEEK: LESS THAN 1 HOUR
APX NUMBER OF HOURS DURING TRADING HOURS: NONE
BRIEF DESCRIPTION OF DUTIES: MONITOR INVESTMENTS, DISTRIBUTION OF FUNDS WHEN NECESSARY.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Joseph Dufresne'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: 110 Cheshire Lane Suite 200, Minnetonka, MN 55305Office #3: 400 Robert Street North Suite 1350, St. Paul, MN 55101RIA
CRD#: 105644
MINNETONKA, MN
Current
July 28, 1995 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 400 Robert Street North Suite 800, Saint Paul, MN 55101Office #2: 110 Cheshire Lane Suite 200, Minnetonka, MN 55305BD
CRD#: 13572
Saint Paul, MN
Past
January 23, 2014 - August 25, 2015
AFFIANCE FINANCIAL LLC
RIA
CRD#: 113200
ST. LOUIS PARK, MN
Past
January 8, 2014 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
ST LOUIS PARK, MN
Past
July 20, 1995 - July 27, 1995
THE HERITAGE GROUP, INC.
BD
CRD#: 24906
SAN FRANCISCO, CA
Past
August 27, 1991 - December 31, 1993
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
Past
March 23, 1990 - March 8, 1991
OPPENHEIMER & CO. INC.
BD
CRD#: 249
NEW YORK, NY
Past
July 18, 1989 - March 23, 1990
B.C. CHRISTOPHER SECURITIES CO.
BD
CRD#: 60
KANSAS CITY, MO
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(1/6/2020)
RR
California(1/2/2024)
RR
Colorado(5/30/2025)
RR
Florida(1/6/2020)
RR
Georgia(1/6/2020)
RR
Illinois(1/6/2020)
RR
Indiana(1/4/2021)
RR
Iowa(1/6/2020)
RR
Kentucky(4/4/2022)
RR
Massachusetts(1/2/2025)
RR
Michigan(6/2/2025)
RR
Minnesota(7/28/1995)
IAR
Minnesota(6/29/2023)
RR
Nebraska(1/2/2024)
RR
North Dakota(1/6/2020)
RR
Ohio(6/30/2022)
RR
Pennsylvania(7/29/2021)
RR
South Dakota(1/6/2020)
RR
Texas(1/6/2020)
IAR
Texas(6/29/2023)
RR
Wisconsin(1/6/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral 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.
