TM
Thomas G. Miksis
CETERA INVESTMENT ADVISERS LLC
Phila, PA 19103
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CRD#: 2655155
TM
Professional summary
Thomas George Miksis is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Phila, Pennsylvania and CETERA ADVISORS LLC located in Philadelphia, Pennsylvania.
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 5 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 7 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: THOMAS G. MIKSIS, CPA, DBA MIKSIS FINANCIAL GROUP, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: TAX & ACCOUNTING, START DATE: 10/1978, POSITION/TITLE/RELATIONSHIP: CPA/OWNER, APX NUMBER OF HOURS PER WEEK: 15, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: TAX PREPARATION AND ACCOUNTING, ACCOUNTING SERVICES; 2) NAME OF OTHER BUSINESS: PRISM FINANCIAL GROUP, LLC, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 10/2021, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 35, 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 Thomas George Miksis'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
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: One Liberty Place 1650 Market St 36th Fl, Phila, PA 19103Office #2: 400 Market St Ste 360, Philadelphia, PA 19106RIA
CRD#: 105644
Phila, PA
Current
November 23, 2021 - Present
CETERA ADVISORS LLC
Office #1: 225 S 4th St Ste 402, Philadelphia, PA 19106Office #2: One Liberty Place 1650 Market St 36th Fl, Phila, PA 19103BD
CRD#: 10299
Philadelphia, PA
Past
November 23, 2021 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
June 6, 2002 - November 26, 2021
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Philadelphia, PA
Past
September 15, 1999 - November 26, 2021
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Philadelphia, PA
Past
October 4, 1995 - September 23, 1999
TUCKER ANTHONY INCORPORATED
BD
CRD#: 837
BOSTON, MA
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
Connecticut(11/23/2021)
RR
Maryland(4/25/2024)
RR
Michigan(1/12/2023)
RR
New Hampshire(11/23/2021)
RR
New Jersey(11/23/2021)
RR
Pennsylvania(11/23/2021)
IAR
Pennsylvania(3/21/2024)
RR
Rhode Island(11/23/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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
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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
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