TE
Thomas B. Etzel
CETERA INVESTMENT ADVISERS LLC
PITTSBURGH, PA 15228
Some features on this profile are disabled
CRD#: 4089194
TE
Professional summary
Thomas Bernard Etzel is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Pittsburgh, Pennsylvania and CETERA WEALTH SERVICES, LLC located in Bethel Park, Pennsylvania.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Thomas has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 62 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) Thomas B. Etzel, CPA~76 Mt. Lebanon Blvd.~Pittsburgh~PA~15228~Accounting~Owner/Sole Proprietor~10/4/2017~40hrs~40hrs~Tax & Wealth Advisor. 2) The Foundation For Global Peace Building~76 Mt Lebanon Blvd~Pittsburgh~PA~15228~Other~Director/Officer~10/26/2010~8hrs~0hrs~President and Founder of this non-profit entity. 3) Thomas B. Etzel P.C.~76 Mt Lebanon Blvd~Pittsburgh~PA~15228~Tax Preparation/Accounting~President~11/1/1999~10hrs~5hrs~CPA. 4) ELIZABETH V. MCCLOSKEY TRUST POSITION: Trustee NATURE: Elizabeth V. McCloskey is my deceased mother-in-law. I perform fiduciary duties for this family trust. The Trust is in the process of liquidation. INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 04/15/2022 ADDRESS: 35 Highland Road, Apartment 1408, Bethel Park PA 15102, United States DESCRIPTION: I perform fiduciary duties and responsibilities. 5) TRAILBLAZER PUBLISHING LLC POSITION: Principal NATURE: I self-published my memoir Within Our Grasp: Changing Ourselves and the World through my company Trailblazer Publishing LLC. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 5 START DATE: 09/11/2024 ADDRESS: 35 Highland Road, Apartment 1408, Bethel Park PA 15102, United States DESCRIPTION: I am the sole member of the LLC. I am responsible for promoting the book and all of the administrative responsibilities such as sales tax, income tax filings, etc.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Bernard Etzel'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: 76 Mt. Lebanon Blvd., Pittsburgh, PA 15228RIA
CRD#: 105644
PITTSBURGH, PA
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
Bethel Park, PA
Past
June 7, 2002 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
PITTSBURGH, PA
Past
February 7, 2000 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Bethel Park, PA
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(9/18/2025)
RR
Florida(9/5/2025)
RR
Illinois(9/5/2025)
RR
Indiana(9/5/2025)
RR
Maryland(9/5/2025)
RR
New Jersey(9/5/2025)
RR
New Mexico(9/18/2025)
RR
New York(9/5/2025)
RR
Pennsylvania(9/5/2025)
IAR
Pennsylvania(9/5/2025)
RR
Vermont(9/5/2025)
RR
Virginia(9/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 5/10/2004
Corporate Securities Limited Representative ExaminationGeneral 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.
