TP
Thomas J. Prideaux
CETERA INVESTMENT ADVISERS LLC
Edina, MN 55436
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CRD#: 2230335
TP
Professional summary
Thomas James Prideaux, who also goes by Thomas James Prideavx, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Edina, Minnesota and CETERA WEALTH SERVICES, LLC located in Edina, Minnesota.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Thomas has worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas James Prideavx
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 ENTITY: Veda Investments, LLC; No; 4930 LINCOLN DRIVE; EDINA; MN; 55436; Holding Company; General Partner; 11/1/2001; 1; 1; General Partner| 2) NAME OF ENTITY: Lincoln Wealth Management; Yes; 4930 LINCOLN DRIVE; EDINA; MN; 55436; FINANCIAL SERVICES/DBA; President; 10/14/2014; 160; 160; SALE AND SERVICE INSURANCE, SECURITIES AND INVESTMENT PRODUCTS| 3) NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 4930 LINCOLN DRIVE; EDINA; MN; 55436; Fixed Insurance Sales; Independent Insurance Agent; 10/15/2014; 150; 150; sales of fixed insurance| 4) NAME OF ENTITY: The Prideaux Group; No; 4930 LINCOLN DRIVE; EDINA; MN; 55436; FIXED INSURANCE/DBA; President; 3/1/1999; 160; 160; SALE AND SERVICE INSURANCE PRODUCTS| 5) NAME OF OTHER BUSINESS: CLUB AT CRYSTAL LAKE II CONDO ASSOCIATION; INVESTMENT RELATED: NO ADDRESS: 12553 NEW BRITTANY BLVD #32 FORT MYERS, FL 33909; NATURE OF BUSINESS: CONDO ASSOCIATION; START DATE: 3/2023; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER/PRESIDENT; APX NUMBER OF HOURS PER WEEK: LESS THAN 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: PRESIDENT OF CONDO ASSOCIATION; 6) NAME OF OTHER BUSINESS: PRIME PROFESSIONAL CENTER OWNERS ASSOCIATION; INVESTMENT RELATED: NO; ADDRESS: 4906 LINCOLN DR EDINA, MN 55436; NATURE OF BUSINESS: BOARD; START DATE: 4/2023; POSITION/TITLE/RELATIONSHIP: SECRETARY/TREASURER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: DISCUSS AND VOTE ON SUBJECTS AND ISSUES OF THE ASSOCIATION; 7) NAME OF OTHER BUSINESS: CLUB AT CRYSTAL LAKE HOA INVESTMENT RELATED: NO, ADDRESS: 13831 VECTOR AVENUE, FORT MYERS, FL, 33907, NATURE OF BUSINESS: HOA, START DATE: 07/2023, POSITION/TITLE/RELATIONSHIP: BOARD MEMBER, LESS THAN ONE HOUR PER WEEK, MAY BE DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: MANAGE COMMON AREAS;
CRS (Client Relationship Summary) - RIA
Click below to view Thomas James Prideaux'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: 4930 Lincoln Drive, Edina, MN 55436RIA
CRD#: 105644
Edina, MN
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 4930 Lincoln Drive, Edina, MN 55436BD
CRD#: 13572
Edina, MN
Past
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
October 21, 2014 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
Edina, MN
Past
October 15, 2014 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
Edina, MN
Past
January 29, 2014 - October 20, 2014
QUESTAR ASSET MANAGEMENT, INC.
RIA
CRD#: 133358
MINNEAPOLIS, MN
Past
December 1, 2006 - October 20, 2014
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
EDINA, MN
Past
July 25, 2005 - December 1, 2006
USALLIANZ SECURITIES, INC.
BD
CRD#: 40875
EDINA, MN
Past
July 18, 2000 - July 20, 2005
LIFEMARK SECURITIES CORP.
BD
CRD#: 16204
ROCHESTER, NY
Past
March 13, 2000 - July 17, 2000
TRANSAMERICA FINANCIAL ADVISORS, INC.
BD
CRD#: 3600
LOS ANGELES, CA
Past
March 15, 1999 - March 10, 2000
OSAIC FS, INC.
BD
CRD#: 3870
FORT WAYNE, IN
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(6/9/2021)
RR
Florida(6/10/2021)
RR
Illinois(6/9/2021)
RR
Kentucky(6/9/2021)
RR
Minnesota(6/9/2021)
IAR
Minnesota(6/29/2023)
RR
North Carolina(6/9/2021)
RR
Texas(6/9/2021)
IAR
Texas(6/29/2023)
RR
Wisconsin(6/9/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
