Thomas M. Roycroft

CETERA INVESTMENT ADVISERS LLC

GLEN MILLS, PA 19342

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CRD#: 2181465

Professional summary

Thomas Michael Roycroft 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 1992. Thomas has worked at 10 firms and has passed the Series 63, SIE, Series 7 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) ROYCROFT FINANCIAL; SINCE 06/01/1999; 25 BIG WOODS DRIVE, GLEN MILLS, PA, 19342; PRESIDENT; oversee operations; check writing ,management; 5 HOURS SPENT ON ACTIVITY PER MONTH, 0 DURING TRADING HOURS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Michael Roycroft's CRS (Customer Relationship Summary).

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®

None

Experience

Current

October 8, 2015 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 205 Baltimore Pike 2nd Floor, Glen Mills, PA 19342

RIA

CRD#: 105644

GLEN MILLS, PA

Current

September 20, 2019 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 205 Baltimore Pike 2nd Floor, Glen Mills, PA 19342

CRD#: 13572

GLEN MILLS, PA

Past

September 17, 2015 - September 20, 2019

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

GLEN MILLS, PA

Past

August 29, 2008 - November 13, 2015

J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC

RIA

CRD#: 124446

GLEN MILLS, PA

Past

December 7, 1999 - February 2, 2000

WOODSTOCK FINANCIAL GROUP, INC.

CRD#: 38095

WOODSTOCK, GA

Past

December 7, 1999 - September 29, 2015

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

Glen Mills, PA

Past

June 11, 1999 - November 19, 1999

SUNPOINT SECURITIES, INC.

CRD#: 25442

LONGVIEW, TX

Past

October 27, 1995 - June 15, 1999

GLOBAL CAPITAL SECURITIES CORPORATION

CRD#: 16184

ENGLEWOOD, CO

Past

June 18, 1992 - January 5, 1996

H.J. MEYERS & CO., INC.

CRD#: 15609

ROCHESTER, NY

Past

January 20, 1992 - June 24, 1992

HIBBARD BROWN & CO., INC.

CRD#: 18246

NEW YORK, NY

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

California
(9/20/2019)

Delaware
(9/20/2019)

Florida
(9/23/2019)

Georgia
(9/20/2019)

Michigan
(9/20/2019)

New Jersey
(9/20/2019)

IAR

Pennsylvania
(10/8/2015)

Pennsylvania
(9/20/2019)

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

State Security Law Exam

Series 63

Date: 1/31/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/17/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/13/1996

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Firm Stability Insights

Thomas M. Roycroft

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Michael Roycroft's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

SUMMIT BROKERAGE SERVICES, INC.

J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC

WOODSTOCK FINANCIAL GROUP, INC.

J.P. TURNER & COMPANY, L.L.C.

SUNPOINT SECURITIES, INC.

GLOBAL CAPITAL SECURITIES CORPORATION

H.J. MEYERS & CO., INC.

HIBBARD BROWN & CO., INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/31/1992

SIE

Date: 10/1/2018

Series 7

Date: 1/17/1992

Series 24

Date: 12/13/1996

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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