Thomas J. Kornett

CETERA INVESTMENT ADVISERS LLC

BRADENTON, FL 34208

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CRD#: 2827381

Professional summary

Thomas J Kornett, who also goes by Thomas John Kornett III, Thomas John III Kornett, Tj Kornett Iii, T J Kornett, Thomas John Kornett, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Bradenton, Florida and CETERA INVESTMENT SERVICES LLC located in Bradenton, Florida.

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 11 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 9, Series 10, Series 4, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas John Kornett Iii | Thomas John Iii Kornett | Tj Kornett Iii | T J Kornett | Thomas John Kornett

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. BOARD OF DIRECTOR FOR MANATEE EDUCATION FOUNDATION; DISCUSS LOCAL NEEDS WITHIN SCHOOLS AND PROVIDE FUNDS WHERE NEEDED 2. PRESIDENT OF BOARD OF DIRECTORS FOR MANATEE LIBRARY FOUNDATION; DISCUSS LOCAL NEEDS WITHIN SCHOOLS AND PROVIDE FUNDS WHERE NEEDED, 1/HR/WK

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas J Kornett's CRS (Customer Relationship Summary).

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®

None

Experience

Current

August 9, 2022 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 4770 State Road 64 East, Bradenton, FL 34208

RIA

CRD#: 105644

BRADENTON, FL

Current

July 22, 2022 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 4770 State Road 64 East, Bradenton, FL 34208

CRD#: 15340

Bradenton, FL

Past

October 1, 2021 - August 10, 2022

HANCOCK WHITNEY INVESTMENT SERVICES INC.

RIA

CRD#: 40637

BRADENTON, FL

Past

September 30, 2021 - August 10, 2022

HANCOCK WHITNEY INVESTMENT SERVICES INC.

CRD#: 40637

BRADENTON, FL

Past

December 2, 2015 - September 14, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SARASOTA, FL

Past

November 6, 2015 - September 14, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SARASOTA, FL

Past

March 30, 2011 - October 6, 2015

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

COLUMBUS, OH

Past

March 28, 2011 - October 6, 2015

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

COLUMBUS, OH

Past

November 7, 2006 - July 15, 2009

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

PRINCETON, NJ

Past

November 7, 2006 - July 15, 2009

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

PRINCETON, NJ

Past

March 24, 2004 - June 15, 2006

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

NEW YORK, NY

Past

March 24, 2004 - June 15, 2006

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

NEW YORK, NY

Past

July 1, 2003 - February 26, 2004

LINCOLN FINANCIAL DISTRIBUTORS, INC.

RIA

CRD#: 145

PHILADELPHIA, PA

Past

July 1, 2003 - February 26, 2004

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

Past

April 8, 2003 - June 27, 2003

CUNA BROKERAGE SERVICES, INC.

RIA

CRD#: 13941

NORTH BRUNSWICK, NJ

Past

April 8, 2003 - June 27, 2003

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

WAVERLY, IA

Past

May 2, 2002 - April 1, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PENNINGTON, NJ

Past

May 13, 1998 - April 1, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

July 30, 1997 - January 8, 1998

DAVID LERNER ASSOCIATES, INC.

CRD#: 5397

SYOSSET, NY

Past

March 3, 1997 - May 13, 1997

FIRST LIBERTY INVESTMENT GROUP, INC.

CRD#: 3536

PHILADELPHIA, PA

Past

December 9, 1996 - March 3, 1997

D. H. BLAIR & CO., INC.

CRD#: 6833

NEW YORK, 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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Florida
(7/22/2022)

IAR

Florida
(8/9/2022)

Mississippi
(8/22/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/4/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/13/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/6/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 4

Date: 11/23/2015

Registered Options Principal Examination

Principal/Supervisory Exam

Series 53

Date: 6/27/2011

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 8/18/2003

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Thomas J. Kornett

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas J Kornett's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

HANCOCK WHITNEY INVESTMENT SERVICES INC.

HANCOCK WHITNEY INVESTMENT SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CUNA BROKERAGE SERVICES, INC.

CUNA BROKERAGE SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

DAVID LERNER ASSOCIATES, INC.

FIRST LIBERTY INVESTMENT GROUP, INC.

D. H. BLAIR & CO., INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/4/2000

Series 63

Date: 12/13/1996

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 12/6/1996

Series 9

Date: 1/2/2023

Series 10

Date: 1/2/2023

Series 4

Date: 11/23/2015

Series 53

Date: 6/27/2011

Series 24

Date: 8/18/2003

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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