BT
Brian M. Thornton
CETERA INVESTMENT ADVISERS LLC
LONG BEACH, NY 11561
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CRD#: 2570743
BT
Professional summary
Brian Michael Thornton, who also goes by Brian M Thornton, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Long Beach, New York and CETERA WEALTH SERVICES, LLC located in Miller Place, New York.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Brian has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brian M Thornton
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: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 10/2019 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE AND ANNUITIES 2. NAME OF OTHER BUSINESS: NORTH FORK ASSET MANAGEMENT INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES POSITION/TITLE/RELATIONSHIP: OWNER OF DBA FOR FINANCIAL SERVICES APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: OWNER - PROVIDE FINANCIAL SERVICES 3.NAME OF OTHER BUSINESS: HAMLET INVESTMENT SERVICES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 8/2021; 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;
CRS (Client Relationship Summary) - RIA
Click below to view Brian Michael Thornton'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: 899 West Beech Street, Long Beach, NY 11561Office #2: 159 Route 25a, Building 2, Suite A, Miller Place, NY 11764RIA
CRD#: 105644
LONG BEACH, NY
Current
October 21, 2019 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 159 Route 25a, Building 2, Suite A, Miller Place, NY 11764Office #2: 899 West Beech Street, Long Beach, NY 11561BD
CRD#: 13572
Miller Place, NY
Past
November 14, 2019 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
MELVILLE, NY
Past
December 16, 2011 - October 22, 2019
B. RILEY WEALTH ADVISORS, INC.
RIA
CRD#: 115927
MILLER PLACE, NY
Past
June 28, 2007 - October 22, 2019
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
MILLER PLACE, NY
Past
January 25, 2007 - July 3, 2007
BROOKSTREET SECURITIES CORPORATION
BD
CRD#: 14667
MILLER PLACE, NY
Past
February 22, 2006 - January 16, 2007
GREAT EASTERN SECURITIES, INC.
BD
CRD#: 2061
SYOSSET, NY
Past
January 10, 2002 - February 22, 2006
EAST SHORE PARTNERS, INC.
BD
CRD#: 28999
HAUPPAUGE, NY
Past
March 7, 2001 - February 4, 2002
JOSEPH GUNNAR & CO. LLC
BD
CRD#: 24795
UNIONDALE, NY
Past
May 6, 1999 - April 6, 2001
GLOBAL CAPITAL SECURITIES CORPORATION
BD
CRD#: 16184
ENGLEWOOD, CO
Past
October 22, 1998 - May 6, 1999
MORGAN, TAYLOR & ASSOCIATES, INC.
BD
CRD#: 37447
MINEOLA, NY
Past
June 20, 1997 - October 22, 1998
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
BOCA RATON, FL
Past
October 21, 1996 - June 20, 1997
H G I
BD
CRD#: 14079
JERICHO, 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".
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
Alabama(2/16/2022)
RR
California(10/22/2019)
RR
Connecticut(7/16/2020)
RR
Delaware(9/10/2020)
RR
District of Columbia(12/14/2023)
RR
Florida(10/22/2019)
RR
Georgia(5/3/2022)
RR
Hawaii(4/14/2025)
RR
Idaho(10/23/2019)
RR
Kansas(10/29/2019)
RR
Maryland(10/29/2019)
RR
Massachusetts(11/12/2019)
RR
Michigan(10/23/2019)
RR
Minnesota(1/10/2022)
RR
Nevada(10/19/2021)
RR
New Hampshire(10/28/2019)
RR
New Jersey(11/14/2019)
RR
New York(10/24/2019)
IAR
New York(6/29/2023)
RR
North Carolina(10/24/2019)
RR
Oregon(10/31/2019)
RR
Pennsylvania(10/22/2019)
RR
Rhode Island(10/25/2019)
RR
South Carolina(3/3/2022)
RR
Tennessee(8/26/2022)
RR
Utah(3/21/2025)
RR
Vermont(11/8/2024)
RR
Virginia(10/30/2019)
RR
Washington(10/25/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
