TG
Thomas H. Garlic
CETERA INVESTMENT ADVISERS LLC
PALMYRA, PA 17078
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CRD#: 3001515
TG
Professional summary
Thomas Henry Garlic, AIF®, who also goes by Thomasd H Garlic, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Palmyra, Pennsylvania and CETERA WEALTH SERVICES, LLC located in Palmyra, Pennsylvania.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Thomas has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomasd H Garlic
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: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 4/2014 APX NUMBER OF HOURS PER WEEK: 5 HOURS/WEEK APX NUMBER OF HOURS DURING TRADING HOURS: 5 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, DISABILITY, ANNUITIES AND LONG TERM CARE 2. NAME OF OTHER BUSINESS: BENCHMARK LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: DBA FOR FINANCIAL SERVICES AND PLANNING START DATE: 4-2014 APX NUMBER OF HOURS PER WEEK: 16-24 APX NUMBER OF HOURS DURING TRADING HOURS: 16-24 BRIEF DESCRIPTION OF DUTIES: FINANCIAL ADVISER, FINANCIAL ADVICE, WEALTH MANAGEMENT, FINANCIAL PLANNING, AND INSURANCE 3. NAME OF OTHER BUSINESS: BENCHMARK ADVISOR NETWORKS, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 04/2014, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 45, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES 4. NAME OF OTHER BUSINESS: SWATARA ACTION TEAM ; INVESTMENT RELATED: NO; ADDRESS: 5875 GENSEMER LANE HARRISBURG, PA 17111; NATURE OF BUSINESS: CIVIC ORGANIZATION ; START DATE: 12/2021 ; POSITION/TITLE/RELATIONSHIP: VICE PRESIDENT ; APX NUMBER OF HOURS PER WEEK: 1-2 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1-2 ; BRIEF DESCRIPTION OF DUTIES: COMMUNITY OUTREACH, EVENT PLANNING, REPORT TO GROUP AT MEETINGS ;
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Henry Garlic'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®
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 101 W Cherry St Ste 1, Palmyra, PA 17078RIA
CRD#: 105644
PALMYRA, PA
Current
April 21, 2014 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 101 W Cherry St Ste 1, Palmyra, PA 17078BD
CRD#: 13572
Palmyra, PA
Past
April 21, 2014 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
September 25, 2003 - April 25, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
PALMYRA, PA
Past
March 24, 1999 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
March 24, 1999 - April 25, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
PALMYRA, PA
Past
February 18, 1998 - February 10, 1999
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
February 18, 1998 - February 10, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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(1/6/2021)
RR
Delaware(6/21/2024)
RR
District of Columbia(7/25/2017)
RR
Florida(4/21/2014)
RR
Maryland(4/21/2014)
RR
Michigan(8/4/2023)
RR
New York(11/14/2018)
RR
Pennsylvania(4/21/2014)
IAR
Pennsylvania(6/29/2023)
RR
Tennessee(1/4/2022)
RR
Texas(1/4/2022)
IAR
Texas(6/29/2023)
RR
Virginia(4/21/2014)
RR
Washington(4/21/2014)
RR
West Virginia(2/11/2025)
Exams
State Security Law Exam
State Security Law 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.
