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Thomas Stuart Bowen

CFP®, ChFC®, CLU®
CETERA INVESTMENT ADVISERS
TULSA, OK
·CRD# 2129648·35 years experience

Professional Summary

Thomas Stuart Bowen, CFP®, ChFC®, CLU® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Tulsa, Oklahoma and CETERA WEALTH SERVICES, LLC located in Tulsa, Oklahoma. Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Thomas has worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 62 and Series 6 exams.

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Services Offered

  • Comprehensive Financial Planning
  • Estate Planning
  • Insurance Planning
  • Retirement Planning
  • Investment Planning
  • Employee and Employer Plan Benefits
  • Business Succession Planning

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

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Contact Information

Email

xxxxx@xxxx.xxx

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Credentials

CFP®
Certified Financial PlannerSince 2004
ChFC®
Chartered Financial Consultant
CLU®
Chartered Life Underwriter

Years of Experience

35 years in the financial services industry

Current & Past Employments

CETERA INVESTMENT ADVISERS LLC·CRD# 105644
RIA
1616 S Main St, Tulsa, OK 74119
August 10, 2023 - Present
CETERA WEALTH SERVICES, LLC·CRD# 13572
BD
1616 South Main Street, Tulsa, OK 74119
August 10, 2023 - Present
SECURIAN FINANCIAL SERVICES, INC.·CRD# 15296
RIA
Tulsa, OK
December 6, 2001 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.·CRD# 15296
BD
Tulsa, OK
May 28, 1991 - August 10, 2023

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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 - SEC (1/13/1984 Approved)

Contact Information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Phone Number

(310) 257-7880

# of Employees

10,251

SEC notice filing (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory Assets Under Management

Total Number of Accounts

813,961

AUM (Assets Under Management)

$256,813,748,739

Accountant Surprise Examination Report

Filing DateForm ADV-E CoverForm ADV-E Report
09/25/2026Cover PageReport
10/27/2025Cover PageReport
12/13/2024Cover PageReport
09/26/2023Cover PageReport

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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) BOWEN FINANCIAL GROUP LLC POSITION: Owner NATURE: DBA INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 09/01/2004 ADDRESS: , Tulsa OK , United States DESCRIPTION: Owner 2) CATALYST BENEFITS GROUP LLC POSITION: Independent Contractor NATURE: DBA INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 08/01/2004 ADDRESS: , Tulsa OK , United States DESCRIPTION: Independent Contractor 3) SAMA FIXED INSURANCE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 09/25/2019 ADDRESS: , Hiawatha IA , United States DESCRIPTION: Agent/Broker 4) BH CANTON, LLC POSITION: Owner NATURE: Rental Property INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 07/14/2020 ADDRESS: 2225 e 34 st, tulsa OK 74105, United States DESCRIPTION: It is a real estate holding company that will rent to commercial office tenants. 5) NAME OF OTHER BUSINESS: TIN CUP PARTNERS LLC; INVESTMENT RELATED: NO; ADDRESS: 562 TELEMART CT WINTER PARK, CO 80482; NATURE OF BUSINESS: REAL ESTATE; START DATE: 09/2021; POSITION/TITLE/RELATIONSHIP: PARTNER; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: REAL ESTATE INVESTMENT; 6) NAME OF OTHER BUSINESS: GUIDE WEALTH PARTNERS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 08/2023; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 7. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 4/2024; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 8. NAME OF OTHER BUSINESS: SCOUT BENEFITS GROUP; INVESTMENT RELATED: NO; ADDRESS: 103 DEAN A. MCGEE AVE, SUITE 500, OKLAHOMA CITY, OK 73102; NATURE OF BUSINESS: EMPLOYEE BENEFITS; START DATE: 4/2024; POSITION/TITLE/RELATIONSHIP: REFERRER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: EMPLOYEE BENEFITS CONSULTING PRIMARILY HEALTH INSURANCE(ALONG WITH DENTAL, GROUP LIFE, ETC); 9. NAME OF OTHER BUSINESS: BIG BROTHERS AND SISTERS; INVESTMENT RELATED: NO; ADDRESS: 1306 S DENVER, TULSA, OK, 74119; NATURE OF BUSINESS: BOARD; START DATE: 2/2025; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: CONSULT AND LIMITED OVERSIGHT OF THE BIG BROTHERS ORGANIZATION; 10. NAME OF OTHER BUSINESS: JBO624; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: HOLDING COMPANY; START DATE: 12/2018; POSITION/TITLE/RELATIONSHIP: MANAGING MEMBER; APX NUMBER OF HOURS PER WEEK: 0.05; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: SIGN DOCUMENTS WHEN NEEDED;

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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 - SEC (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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Arizona
(10/16/2026)
RR
Arkansas
(8/10/2023)
RR
Delaware
(8/10/2023)
RR
Florida
(8/11/2023)
RR
Georgia
(8/10/2023)
RR
Kansas
(8/10/2023)
RR
Oklahoma
(8/10/2023)
IAR
Oklahoma
(8/10/2023)
RR
Texas
(8/10/2023)
IAR
Texas
(8/10/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 1991About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jun 2002About the Series 7 exam

Series 62 — Corporate Securities Limited Representative Examination

Passed May 1997

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed May 1991About the Series 6 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Thomas Stuart Bowen's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Services Offered by Thomas

  • Comprehensive Financial Planning
  • Estate Planning
  • Insurance Planning
  • Retirement Planning
  • Investment Planning
  • Employee and Employer Plan Benefits
  • Business Succession Planning

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Tulsa, OK · CRD#
TB
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