TM
Thomas J. Mckinnon
CETERA INVESTMENT ADVISERS LLC
HINGHAM, MA 02043
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CRD#: 2851080
TM
Professional summary
Thomas John Mckinnon is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Hingham, Massachusetts and CETERA FINANCIAL SPECIALISTS LLC located in Hingham, Massachusetts.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Thomas has worked at 3 firms and has passed the 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) TREASURER OF A SMALL HOLDING COMPANY. 2) CPA FIRM-PARTNER SINCE 4/18/78-CPA PRAC-40HR/WK. 3) DOOR & WINDOW CO-TREASURER SINCE 88-PAY BILLS ETC-2HR/WK. 4) DERBY FINANCIAL GROUP, LLC; DBA NAME FOR INVESTMENT PRACTICE - INV. RELATED; HINGHAM, MA; FINANCIAL SERVICES; MEMBER; SINCE 05/1997; 45 HRS/MONTH; 30 HRS/MONTH DURING SECURITIES TRADING HOURS: 5) TRUSTEE FOR CLIENT TRUST; INVESTMENT RELATED
CRS (Client Relationship Summary) - RIA
Click below to view Thomas John Mckinnon'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
August 19, 1998 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 175 Derby Street Suite 40, Hingham, MA 02043RIA
CRD#: 105644
HINGHAM, MA
Current
February 12, 1998 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 175 Derby Street Suite 40, Hingham, MA 02043BD
CRD#: 10358
Hingham, MA
Past
February 24, 1997 - March 6, 1998
NORTH AMERICAN FINANCIAL GROUP, INC.
BD
CRD#: 22273
WARREN, MI
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(6/29/1999)
RR
Colorado(9/23/2019)
RR
Connecticut(7/13/2020)
RR
Florida(7/2/1999)
RR
Georgia(9/18/2015)
RR
Indiana(4/22/2019)
RR
Maine(8/4/2006)
RR
Massachusetts(2/12/1998)
IAR
Massachusetts(8/19/1998)
RR
New Hampshire(9/24/2001)
RR
New York(1/12/2017)
RR
Pennsylvania(5/29/2002)
RR
Rhode Island(4/13/2000)
RR
South Carolina(10/6/2023)
Exams
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
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Hingham, MA 02043TRUST BUT VERIFY
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