TV
Thomas J. Veth
CETERA INVESTMENT ADVISERS LLC
ATLANTIC HIGHLANDS, NJ 07716
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CRD#: 1999499
TV
Professional summary
Thomas James Veth is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Atlantic Highlands, New Jersey and CETERA FINANCIAL SPECIALISTS LLC located in Atlantic Highlands, New Jersey.
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 66, Series 63, SIE, Series 7, Series 6 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.ATLANTIC COAST TITLE AGENCY LLC, NOT INVESTMENT RELATED, OWNER, TITLE SEARCHES AND CLOSING AGENT FOR REAL ESTATE PURCHASES AND REFINANCES, 4H/MONTH, 0 HOURS/MONTH DURING TRADING HOURS, SINCE 03/2003. 2. HARTSHORNE ASSOCIATES LTD, NOT INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, PARTNER, COLLECT RENTS, PAY EXPENSES AND FILE TAX RETURNS, 5HOURS/MONTH, 0 HOURS/MONTH DURING TRADING HOURS, SINCE 03/2007. 3.INSURANCE AGENT, NOT INVESTMENT RELATED, SAME AS REGISTERED BRANCH, SALES OF HEALTH INSURANCE, 4 HOURS/MONTH, SINCE 05/2011 4.BPOE LODGE #742, NOT INVESTMENT RELATED, LONG BRANCH, NJ, COMPLETE NON-PROFIT TAX RETURNS, CPA, 4 HOURS/MONTH, 0 HOURS/MONTH DURING TRADING HOURS, SINCE 12/2018. 5.NOTARY PUBLIC, NOT INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, NOTARIZE DOCUMENTS FOR NO CHARGE, OWNER, .8 HOURS/MONTH, SINCE 08/2018. 6.PROPERTY AND CASUALTY INSURANCE AGENT, NOT INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, SOLE PROPRIETOR/AGENT, 4 HOURS/MONTH, SINCE 05/2011. 7.REAL ESTATE OWNERSHIP, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, PART OWNER, TIMESHARES/SINGLE FAMILY HOME, SINCE 03/2007, 4 HOURS/MONTH. 8.THOMAS J VETH CPA PC, NOT INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, OWNER, CPA, PREPARATION OF INDIVIDUAL, ESTATE AND CORPORATE TAX RETURNS, CONSULTING AND TAX PLANNING, 44H/WEEK, 26 HOURS/MONTH DURING TRADING HOURS, SINCE 12/1971. 9.THOMAS J VETH, TRAVEL AGENT, NOT INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, THROUGH INTELETRAVEL, OWNER, SOLE PROPRIETOR, TRAVEL AGENT SERVICES, ARRANGE TRAVEL FOR FAMILY AND FRIENDS, 4H/MONTH,0 DURING TRADING HOURS SINCE 10/2004. 10. THOMAS J. VETH WEALTH MANAGEMENT, INVESTMENT RELATED - DBA BRANCH OFFICE FOR CETERA FINANCIAL SERVICES 107 MEMORIAL PKY HIGHWAY 36 ATLANTIC HIGHLANDS, NJ 07716 REGISTERED PRINCIPAL 78 HOURS PER MONTH 78 HOURS FOR TRADING 10/2024
CRS (Client Relationship Summary) - RIA
Click below to view Thomas James Veth'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 31, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 107 Memorial Pkw Hwy 36 East, Atlantic Highlands, NJ 07716RIA
CRD#: 105644
ATLANTIC HIGHLANDS, NJ
Current
October 31, 2024 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 107 Memorial Parkway Highway 36 E, Atlantic Highlands, NJ 07716BD
CRD#: 10358
ATLANTIC HIGHLANDS, NJ
Past
July 22, 2022 - November 24, 2024
B. RILEY WEALTH MANAGEMENT
BD
CRD#: 2543
ATLANTIC HIGHLANDS, NJ
Past
November 14, 2017 - November 24, 2024
B. RILEY WEALTH ADVISORS, INC.
RIA
CRD#: 115927
ATLANTIC HIGHLANDS, NJ
Past
January 22, 2010 - July 22, 2022
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
ATLANTIC HIGHLANDS, NJ
Past
May 14, 2004 - January 20, 2010
GUNNALLEN FINANCIAL, INC
BD
CRD#: 17609
ATLANTIC HIGHLANDS, NJ
Past
January 3, 2001 - May 18, 2004
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
BOCA RATON, FL
Past
October 23, 1989 - August 1, 2000
WORLD INVESTMENTS, LLC
BD
CRD#: 20626
LINCROFT, NJ
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
Colorado(11/1/2024)
RR
Florida(11/1/2024)
RR
Maryland(11/7/2024)
RR
Michigan(11/25/2024)
RR
New Jersey(10/31/2024)
IAR
New Jersey(10/31/2024)
RR
New York(11/5/2024)
RR
North Carolina(11/26/2024)
RR
Ohio(10/31/2024)
RR
Pennsylvania(11/1/2024)
RR
South Carolina(11/1/2024)
RR
Virginia(11/25/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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
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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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Atlantic Highlands, NJ 07716TRUST BUT VERIFY
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