Thomas C. Powers

CETERA INVESTMENT ADVISERS LLC

GREENWOOD VILLAGE, CO 80111

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CRD#: 2361069

Professional summary

Thomas Charles Powers, CFP®, who also goes by Tom Powers, Thomas Charles Powers, Thomas Powers, Thomas C Powers, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Greenwood Village, Colorado and CETERA INVESTMENT SERVICES LLC located in Greenwood Village, Colorado.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Thomas has worked at 18 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 10, Series 9, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tom Powers | Thomas Charles Powers | Thomas Powers | Thomas C Powers

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Charles Powers'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®

CFP^®

Certified Financial Planner

Start date: 1998

Experience

Current

October 24, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 5299 Dtc Blvd Suite 800, Greenwood Village, CO 80111

RIA

CRD#: 105644

GREENWOOD VILLAGE, CO

Current

October 24, 2023 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 5299 Dtc Blvd Suite 800, Greenwood Village, CO 80111

CRD#: 15340

Greenwood Village, CO

Past

October 6, 2022 - July 12, 2023

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

VERNON HILLS, IL

Past

October 4, 2022 - July 12, 2023

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

VERNON HILLS, IL

Past

October 22, 2021 - August 26, 2022

TRIAD ADVISORS LLC

RIA

CRD#: 25803

ATLANTA, GA

Past

October 21, 2021 - August 26, 2022

TRIAD ADVISORS LLC

CRD#: 25803

ATLANTA, GA

Past

August 14, 2019 - January 21, 2021

B. RILEY WEALTH MANAGEMENT

RIA

CRD#: 2543

CHICAGO, IL

Past

August 5, 2019 - January 21, 2021

B. RILEY WEALTH MANAGEMENT

CRD#: 2543

CHICAGO, IL

Past

July 13, 2018 - May 3, 2019

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

BOSTON, MA

Past

June 12, 2018 - July 13, 2018

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

WALNUT CREEK, CA

Past

June 6, 2018 - May 3, 2019

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SUNNYVALE, CA

Past

March 3, 2017 - December 11, 2017

LPL FINANCIAL LLC

RIA

CRD#: 6413

VACAVILLE, CA

Past

March 3, 2017 - December 11, 2017

LPL FINANCIAL LLC

CRD#: 6413

VACAVILLE, CA

Past

June 10, 2015 - September 14, 2016

COMERICA SECURITIES

RIA

CRD#: 17079

DALLAS, TX

Past

June 9, 2015 - September 14, 2016

COMERICA SECURITIES

CRD#: 17079

DALLAS, TX

Past

April 6, 2015 - June 8, 2015

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

WEST DES MOINES, IA

Past

March 25, 2015 - June 8, 2015

INVEST FINANCIAL CORPORATION

CRD#: 12984

WEST DES MOINES, IA

Past

June 11, 2013 - October 1, 2013

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

CRD#: 611

OMAHA, NE

Past

February 11, 2013 - March 22, 2013

AMERITAS INVESTMENT COMPANY, LLC

RIA

CRD#: 14869

W DES MOINES, IA

Past

January 23, 2013 - March 22, 2013

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

LINCOLN, NE

Past

July 20, 2005 - June 4, 2012

WADDELL & REED

RIA

CRD#: 866

OVERLAND PARK, KS

Past

July 15, 2005 - June 4, 2012

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

Past

February 23, 2005 - July 1, 2005

UVEST FINANCIAL SERVICES GROUP, INC.

RIA

CRD#: 13787

GREENWOOD VILLAGE, CO

Past

February 22, 2005 - July 1, 2005

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

CHARLOTTE, NC

Past

June 24, 2004 - December 16, 2004

AMERITAS INVESTMENT COMPANY, LLC

RIA

CRD#: 14869

GREENWOOD VLG, CO

Past

May 5, 2004 - December 16, 2004

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

LINCOLN, NE

Past

March 29, 2004 - April 27, 2004

AFS BROKERAGE, INC.

RIA

CRD#: 25924

CHICAGO, IL

Past

March 26, 2004 - April 27, 2004

AFS BROKERAGE, INC.

CRD#: 25924

AUSTIN, TX

Past

May 14, 2001 - February 3, 2004

NEW ENGLAND SECURITIES

RIA

CRD#: 615

NORTHBROOK, IL

Past

April 19, 2001 - February 3, 2004

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

June 14, 1993 - March 13, 2001

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, 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".

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

Alabama
(10/26/2023)

Alaska
(10/30/2023)

Arizona
(10/31/2023)

Arkansas
(10/26/2023)

California
(10/24/2023)

Colorado
(10/26/2023)

IAR

Colorado
(10/26/2023)

Connecticut
(10/24/2023)

Delaware
(11/1/2023)

District of Columbia
(10/31/2023)

Florida
(10/25/2023)

Georgia
(10/26/2023)

Hawaii
(12/22/2023)

Idaho
(10/24/2023)

Illinois
(10/26/2023)

Indiana
(11/22/2023)

Iowa
(10/27/2023)

Kansas
(10/26/2023)

Kentucky
(10/27/2023)

Louisiana
(10/27/2023)

Maine
(10/26/2023)

Maryland
(11/2/2023)

Massachusetts
(10/25/2023)

Michigan
(10/26/2023)

Minnesota
(10/31/2023)

Mississippi
(10/27/2023)

Missouri
(10/24/2023)

Montana
(10/26/2023)

Nebraska
(10/25/2023)

Nevada
(11/6/2023)

New Hampshire
(11/2/2023)

New Jersey
(10/27/2023)

New Mexico
(10/27/2023)

North Carolina
(10/25/2023)

North Dakota
(10/30/2023)

Ohio
(10/25/2023)

Oklahoma
(10/30/2023)

Oregon
(10/25/2023)

Pennsylvania
(10/25/2023)

Rhode Island
(10/25/2023)

South Carolina
(10/31/2023)

South Dakota
(10/31/2023)

Tennessee
(10/30/2023)

IAR

Texas
(10/24/2023)

Texas
(10/25/2023)

Utah
(10/24/2023)

Vermont
(10/27/2023)

Virginia
(10/26/2023)

Washington
(10/26/2023)

West Virginia
(10/26/2023)

Wisconsin
(10/24/2023)

Wyoming
(11/6/2023)

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

State Security Law Exam

IAR

Series 65

Date: 8/4/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/1/1993

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: 10/1/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/11/1993

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 10

Date: 11/9/2015

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 7/23/2015

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 7/24/2000

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 10/28/1996

Investment Company Products/Variable Contracts 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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Advisor Monitoring

Firm Stability Insights

Thomas C. Powers

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Charles Powers's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

TRIAD ADVISORS LLC

TRIAD ADVISORS LLC

B. RILEY WEALTH MANAGEMENT

B. RILEY WEALTH MANAGEMENT

FIDELITY PERSONAL AND WORKPLACE ADVISORS

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

COMERICA SECURITIES

COMERICA SECURITIES

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

AMERITAS INVESTMENT COMPANY, LLC

AMERITAS INVESTMENT COMPANY, LLC

WADDELL & REED

WADDELL & REED

UVEST FINANCIAL SERVICES GROUP, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

AMERITAS INVESTMENT COMPANY, LLC

AMERITAS INVESTMENT COMPANY, LLC

AFS BROKERAGE, INC.

AFS BROKERAGE, INC.

NEW ENGLAND SECURITIES

NEW ENGLAND SECURITIES

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/4/1997

Series 63

Date: 7/1/1993

SIE

Date: 10/1/2018

Series 7

Date: 10/1/1997

Series 6

Date: 6/11/1993

Series 10

Date: 11/9/2015

Series 9

Date: 7/23/2015

Series 24

Date: 7/24/2000

Series 26

Date: 10/28/1996

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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