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Tom T. Teraoka
CETERA INVESTMENT ADVISERS LLC
HUNTINGTON BEACH, CA 92649
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CRD#: 2780358
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Professional summary
Tom Toshiyuki Teraoka is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Huntington Beach, California and CETERA WEALTH SERVICES, LLC located in Huntington Beach, California.
Tom is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Tom has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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) TERAOKA WEALTH MANAGEMENT, LLC POSITION: OWNER NATURE: PRESIDENT INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 07/01/2011 ADDRESS: Huntington Beach CA , United States DESCRIPTION: Provide financial services to clients 2) LE TIP INTERNATIONAL POSITION: PAST PRESIDENT STILL PART OF THE BOARD NATURE: LEADS GROUP INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 1 START DATE: 01/01/1984 ADDRESS: Huntington Beach CA , United States DESCRIPTION: CONSULTANT TO GROUP ON HOW TO MAKE ORGANIZATION GROW 3) TERAOKA & COMPANY POSITION: OTHER - OWNER NATURE: CPA firm INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 06/01/1991 DESCRIPTION: CPA firm 4) REAL ESTATE-RENTAL POSITION: OWNER NATURE: RENTAL REAL ESTATE INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: DESCRIPTION: Real estate rental 5)INVESTMENT CLUB; MEMBER; INVESTMENT CLUB; IR; 0; 01/01/2004;
CRS (Client Relationship Summary) - RIA
Click below to view Tom Toshiyuki Teraoka'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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 16872 Bolsa Chica Street Suite 202, Huntington Beach, CA 92649RIA
CRD#: 105644
HUNTINGTON BEACH, CA
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 16872 Bolsa Chica Street Suite 202, Huntington Beach, CA 92649BD
CRD#: 13572
HUNTINGTON BEACH, CA
Past
October 25, 2019 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
HUNTINGTON BEACH, CA
Past
October 25, 2019 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
HUNTINGTON BEACH, CA
Past
May 4, 2005 - October 25, 2019
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
HUNTINGTON BEACH, CA
Past
November 12, 2003 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
HUNTINGTON BEACH, CA
Past
October 1, 2003 - November 12, 2003
SALZBURG SECURITIES, LLC
BD
CRD#: 125450
ORLANDO, FL
Past
August 21, 2002 - September 22, 2003
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
HUNTING BEACH, CA
Past
October 4, 1996 - September 8, 2003
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
DALLAS, 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
Arizona(9/5/2025)
RR
California(9/5/2025)
IAR
California(9/5/2025)
RR
Colorado(9/5/2025)
RR
Louisiana(9/5/2025)
RR
Massachusetts(9/5/2025)
RR
Michigan(9/5/2025)
RR
Pennsylvania(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Utah(9/5/2025)
RR
Washington(9/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General 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
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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.
