TB
Thomas E. Boles
CETERA INVESTMENT ADVISERS LLC
SAN DIEGO, CA 92108
Some features on this profile are disabled
CRD#: 2771368
TB
Professional summary
Thomas Edward Boles is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in San Diego, California and CETERA ADVISORS LLC located in San Diego, California.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Thomas has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 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) FIXED INSURANCE AGENT (2) NAME OF OTHER BUSINESS: UNITED FINANCIAL CONSULTANTS INC ; INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: S-CORP ; START DATE: 08/2007 ; POSITION/TITLE/RELATIONSHIP: PRESIDENT / OWNER ; APX NUMBER OF HOURS PER WEEK: 40 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ; BRIEF DESCRIPTION OF DUTIES: MANAGE DAY TO DAY OPERATIONS. RENTING AVAILABLE OFFICE SPACE ; (3) NAME OF OTHER BUSINESS: TELESIS FINANCIAL; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 11/2016; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; (4) NAME OF OTHER BUSINESS: TELESIS TAX & FINANCIAL INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: TAX SERVICES START DATE: 2/2018 APX NUMBER OF HOURS PER WEEK: 15 APX NUMBER OF HOURS DURING TRADING HOURS: 15 POSITION/TITLE/RELATIONSHIP: TAX PREPARER & IRS ENROLLED AGENT BRIEF DESCRIPTION OF DUTIES: TAX SERVICES ; (5) NAME OF OTHER BUSINESS: COASTAL DRAGONS RUGBY INC; INVESTMENT RELATED: NO; ADDRESS: 1345 ENCINITAS BLVD STE 421 ENCINITAS CA 92024; NATURE OF BUSINESS: COMMUNITY SPORTS; START DATE: 10/2020; POSITION/TITLE/RELATIONSHIP: BOARD/TREASURER; APX NUMBER OF HOURS PER WEEK: 2-3; APX NUMBER OF HOURS DURING TRADING HOURS: 2-3; BRIEF DESCRIPTION OF DUTIES: PROVIDE OPERATIONAL SUPPORT FOR THE LEAGUE;
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Edward Boles'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: 1011 Camino Del Rio S Ste 530, San Diego, CA 92108RIA
CRD#: 105644
SAN DIEGO, CA
Current
January 10, 2013 - Present
CETERA ADVISORS LLC
Office #1: 1011 Camino Del Rio S Ste 530, San Diego, CA 92108BD
CRD#: 10299
San Diego, CA
Past
January 9, 2013 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
July 26, 2007 - January 9, 2013
CETERA ADVISORS LLC
RIA
CRD#: 10299
SAN DIEGO, CA
Past
July 26, 2007 - January 9, 2013
CETERA ADVISORS LLC
BD
CRD#: 10299
SAN DIEGO, CA
Past
April 7, 2006 - August 1, 2007
LPL FINANCIAL LLC
RIA
CRD#: 6413
ENCINITAS, CA
Past
April 7, 2006 - August 1, 2007
LPL FINANCIAL LLC
BD
CRD#: 6413
ENCINITAS, CA
Past
July 30, 2003 - April 21, 2006
AMERIPRISE ADVISOR SERVICES, INC.
RIA
CRD#: 5979
SAN DIEGO, CA
Past
February 18, 2003 - April 21, 2006
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
SAN DIEGO, CA
Past
November 8, 1996 - February 27, 2003
FORTA FINANCIAL GROUP, INC.
BD
CRD#: 28784
AUSTIN, TX
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(9/30/2014)
RR
Arizona(1/10/2013)
RR
California(1/10/2013)
IAR
California(3/21/2024)
RR
Colorado(1/10/2013)
RR
Connecticut(1/10/2013)
RR
Florida(1/10/2013)
RR
Georgia(2/3/2016)
RR
Idaho(1/10/2013)
RR
Illinois(1/10/2013)
RR
Indiana(1/31/2017)
RR
Iowa(1/10/2013)
RR
Kentucky(8/30/2016)
RR
Louisiana(1/9/2019)
RR
Maryland(1/10/2013)
RR
Michigan(1/10/2013)
RR
Minnesota(4/21/2015)
RR
Missouri(8/28/2018)
RR
Nevada(1/10/2013)
RR
New Jersey(1/10/2013)
RR
New York(1/10/2013)
RR
North Carolina(1/10/2013)
RR
Ohio(6/22/2017)
RR
Oklahoma(4/24/2015)
RR
Oregon(1/10/2013)
RR
Pennsylvania(1/6/2016)
RR
South Carolina(9/11/2014)
RR
Tennessee(1/5/2017)
RR
Texas(1/10/2013)
IAR
Texas(3/21/2024)
RR
Utah(1/10/2013)
RR
Virginia(1/10/2013)
RR
Washington(1/10/2013)
Exams
State Security Law Exam
State Security Law 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.
