TB
Thomas L. Bausley
CETERA INVESTMENT ADVISERS LLC
RICHARDSON, TX 75080
Some features on this profile are disabled
CRD#: 2608768
TB
Professional summary
Thomas Lorenzo Bausley JR, who also goes by Todd Bausley, Thomas Lorenzo Bausley, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Richardson, Texas and CETERA WEALTH SERVICES, LLC located in Richardson, Texas.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Thomas has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Todd Bausley | Thomas Lorenzo Bausley
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;
APX NUMBER OF HOURS PER WEEK: 16;
APX NUMBER OF HOURS DURING TRADING HOURS: 16;
POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT;
BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES, LONG TERM CARE AND VOLUNTARY BENEFITS;
2. NAME OF OTHER BUSINESS: BAUSLEY FINANCIAL SERVICES
INVESTMENT RELATED: YES
ADDRESS: SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: FINANCIAL SERVICES
START DATE: 01/2018
POSITION/TITLE/RELATIONSHIP: OWNER
APX NUMBER OF HOURS PER WEEK: 40
APX NUMBER OF HOURS DURING TRADING HOURS: 40
BRIEF DESCRIPTION OF DUTIES: OWNER
3. NAME OF OTHER BUSINESS: SERENDIPITY SPORTS
INVESTMENT RELATED: NO
ADDRESS: 4816 GOLDENEYES LN, MCKINNEY, TX 75070
NATURE OF BUSINESS: SPORTS APPAREL
START DATE: 04/2015
POSITION/TITLE/RELATIONSHIP: BUSINESS CONSULTANT
APX NUMBER OF HOURS PER WEEK: 5
APX NUMBER OF HOURS DURING TRADING HOURS: 5
BRIEF DESCRIPTION OF DUTIES: BUSINESS CONSULTING AND ACCOUNTING
4. NAME OF OTHER BUSINESS: VAUGHN ASSET ADVISORY AGENCY, LLC;
INVESTMENT RELATED: YES;
ADDRESS: SAME AS REGISTERED LOCATION;
NATURE OF BUSINESS: DBA FOR INSURANCE SERVICES;
START DATE: 03/2018;
POSITION/TITLE/RELATIONSHIP: SENIOR INSURANCE AGENT;
APX NUMBER OF HOURS PER WEEK: 5-10;
APX NUMBER OF HOURS DURING TRADING HOURS: 5-10;
BRIEF DESCRIPTION OF DUTIES: INSURANCE SERVICES;
5. NAME OF OTHER BUSINESS: COLLEGE FUNDING SOLUTIONS;
INVESTMENT RELATED: NO;
ADDRESS: 4676 COMMERCIAL ST STE #460, SALEM, OR 97302;
NATURE OF BUSINESS: COLLEGE FUNDING;
START DATE: 1993;
POSITION/TITLE/RELATIONSHIP: SALES REP;
APX NUMBER OF HOURS PER WEEK: 10-15;
APX NUMBER OF HOURS DURING TRADING HOURS: 10-15;
BRIEF DESCRIPTION OF DUTIES: PRESENTING POSSIBLE SOLUTIONS TO THE COLLEGE APPLICATION PROCESS;
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Lorenzo Bausley JR'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: 1096 Edith Circle, Richardson, TX 75080RIA
CRD#: 105644
RICHARDSON, TX
Current
January 17, 2018 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
RICHARDSON, TX
Past
June 4, 2018 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
October 21, 2013 - November 21, 2014
QUESTAR ASSET MANAGEMENT, INC.
RIA
CRD#: 133358
MINNEAPOLIS, MN
Past
October 21, 2013 - December 31, 2017
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
RICHARDSON, TX
Past
August 26, 2011 - December 31, 2012
SPC
RIA
CRD#: 110692
DALLAS, TX
Past
August 26, 2011 - October 22, 2013
PARKLAND SECURITIES, LLC
BD
CRD#: 115368
DALLAS, TX
Past
December 20, 2002 - August 30, 2011
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
DALLAS, TX
Past
September 6, 2000 - August 30, 2011
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
DALLAS, TX
Past
March 24, 1997 - September 8, 2000
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
Past
May 30, 1995 - March 18, 1997
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
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
California(1/17/2018)
RR
Colorado(3/13/2018)
RR
Georgia(1/19/2018)
RR
Massachusetts(5/16/2018)
RR
Nevada(1/30/2018)
RR
New York(1/23/2018)
RR
North Carolina(1/18/2018)
RR
South Carolina(1/19/2018)
RR
Texas(1/17/2018)
IAR
Texas(6/29/2023)
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
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Richardson, TX 75080TRUST BUT VERIFY
Monitor Thomas Bausley
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
