TH
Thomas J. Hanna
CETERA INVESTMENT ADVISERS LLC
OXNARD, CA 93036
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CRD#: 3088838
TH
Professional summary
Thomas Joseph Hanna, who also goes by Tom Hanna, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Oxnard, California and AVANTAX PLANNING PARTNERS, INC. located in Oxnard, California.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Thomas has worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tom Hanna
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) CAREY & HANNA TAX & WEALTH PLANNERS; POSITION: Partner/General Partner NATURE: Tax Preparation/Accounting INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 0 START DATE: 12/08/2003; ADDRESS: 1000 Town Center Drive, Suite 200, OXNARD CA 93036, United States; DESCRIPTION: accounting manager 2) Investrite~'NIR'~1445 Donlon Street, Suite 6~Ventura~CA~93003~Business/Management Consulting Partner/General Partner~6/13/2011~1hrs~0hrs~making deposits, bookkeeping, filing tax returns 3) LANDMARK LENDING POSITION: Mortgage Loan Originator NATURE: Provide mortgage loans, applications, qualifying INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 11/22/2022; ADDRESS: 1000 Town Center Drive, Suite 200, Oxnard CA 93036, US; My duty is to help client's with the process of obtaining a mortgage loan, filling out applications, running credit reports, income ratios
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Joseph Hanna'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: 1000 Town Center Drive Suite 200, Oxnard, CA 93036RIA
CRD#: 105644
OXNARD, CA
Current
October 17, 2025 - Present
AVANTAX PLANNING PARTNERS, INC.
Office #1: 1000 Town Center Drive Suite 200, Oxnard, CA 93036RIA
CRD#: 106237
Oxnard, CA
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1000 Town Center Drive Suite 200, Oxnard, CA 93036BD
CRD#: 13572
Oxnard, CA
Past
March 30, 2018 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Oxnard, CA
Past
December 17, 2003 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Oxnard, CA
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(9/5/2025)
IAR
California(9/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/19/2018
General Securities Representative ExaminationGeneral 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#: 105644Oxnard, CA 93036TRUST BUT VERIFY
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