TB
Thomas W. Burton
CETERA INVESTMENT ADVISERS LLC
Chicago, IL 60612
Some features on this profile are disabled
CRD#: 2216228
TB
Professional summary
Thomas William Burton III is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Chicago, Illinois and CETERA ADVISORS LLC located in Orland Park, Illinois.
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 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 22 and Series 6 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. NAME OF OTHER BUSINESS: BURTON FINANCIAL GROUP LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: FIXED INSURANCE START DATE: 2/2023; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: BUSINESS EXPENSES, TAX RETURNS AND FIXED INSURANCE COMMISSIONS; 2. FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FIXED INSURANCE, START DATE 02/2019, INSURANCE AGENT , APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, SELLS LIFE, HEALTH, AND DISABILITY. 3. MEGENT FINANCIAL, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FINANCIAL SERVICES, STARTED 04/2016, REGISTERED REPRESENTATIVE APX NUMBER OF HOURS PER WEEK: 40, 32.5 DURING TRADING HOURS BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES
CRS (Client Relationship Summary) - RIA
Click below to view Thomas William Burton III'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
February 2, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1928 West Fulton #3, Chicago, IL 60612Office #2: 1200 Harger Road Suite 325, Oak Brook, IL 60523Office #3: 15321 S 94th Ave Ste 100, Orland Park, IL 60462RIA
CRD#: 105644
Chicago, IL
Current
February 28, 2019 - Present
CETERA ADVISORS LLC
Office #1: 15321 S 94th Ave Ste 100, Orland Park, IL 60462Office #2: 1928 West Fulton #3, Chicago, IL 60612Office #3: 1200 Harger Road Suite 325, Oak Brook, IL 60523BD
CRD#: 10299
Orland Park, IL
Past
February 28, 2019 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
Naples, FL
Past
May 2, 2016 - March 4, 2019
OPUS WEALTH MANAGEMENT GROUP
RIA
CRD#: 176525
Orland Park, IL
Past
April 28, 2016 - March 22, 2019
LPL FINANCIAL LLC
BD
CRD#: 6413
ORLAND PARK, IL
Past
September 18, 2012 - May 2, 2016
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
ORLAND PARK, IL
Past
September 14, 2012 - May 2, 2016
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ORLAND PARK, IL
Past
June 2, 2009 - September 17, 2012
WISCONSIN FINANCIAL ADVISORS, LLC
RIA
CRD#: 149220
ORLAND PARK, IL
Past
August 16, 2001 - September 18, 2012
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
ORLAND PARK, IL
Past
August 30, 1995 - August 29, 2001
STRATEGIC ASSETS INC.
BD
CRD#: 37590
MELVILLE, NY
Past
March 16, 1992 - August 31, 1995
WFG SECURITIES CORPORATION
BD
CRD#: 13169
MIDDLETON, WI
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(2/28/2019)
RR
Arkansas(2/28/2019)
RR
Florida(2/28/2019)
IAR
Florida(2/2/2024)
RR
Illinois(2/28/2019)
IAR
Illinois(3/21/2024)
RR
Indiana(2/28/2019)
RR
Kentucky(2/26/2025)
RR
Michigan(6/16/2020)
RR
Missouri(2/28/2019)
RR
Nevada(9/13/2019)
RR
New York(3/3/2025)
RR
Ohio(9/20/2022)
RR
Oklahoma(2/28/2019)
RR
Tennessee(2/28/2019)
RR
Vermont(10/7/2025)
RR
Wisconsin(2/28/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
