Thomas J. Begley

CETERA INVESTMENT ADVISERS LLC

MORGANTOWN, WV 26505

Some features on this profile are disabled

CRD#: 4104785

Professional summary

Thomas Joseph Begley, CFP®, who also goes by Tom Begley, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Morgantown, West Virginia and CETERA INVESTMENT SERVICES LLC located in Morgantown, West Virginia.

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 10 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tom Begley

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.) SENIOR WEALTH ADVISOR AT FIRST UNITED BANK AND TRUST; HELP CLIENTS ADMINISTOR ACCOUNTS AND ASSIST IN FINANCIAL PLANNING; MANAGE PACKAGING AND SUBMISSIONS OF TRUST DOCUMENTS; MAINTAIN TIMELY AND ACCURATE RECORDS FOR TRUST DEPT. 2.) MEMBER OF BOARD OF DIRECTOR AT PACE ENTERPRISES; 1 HR/WK. 3.) CHAIRMAN OF STANDING ALUMNI ENGAGEMENT COMMITTEE AND VOLUNEER FOR STUDENT LEADERSHIP EDUCATIONAL OPPORTUNITY EVENTS AT PI KAPPA PHI FRATERNITY.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Joseph Begley'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®

CFP^®

Certified Financial Planner

Start date: 2006

Experience

Current

October 9, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 651 Suncrest Towne Center Drive, Morgantown, WV 26505

RIA

CRD#: 105644

MORGANTOWN, WV

Current

October 6, 2025 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 651 Suncrest Towne Centre Drive, Morgantown, WV 26505

CRD#: 15340

Morgantown, WV

Past

September 17, 2020 - October 27, 2022

THE HUNTINGTON INVESTMENT COMPANY

RIA

CRD#: 16986

Morgantown, WV

Past

September 14, 2020 - October 27, 2022

THE HUNTINGTON INVESTMENT COMPANY

CRD#: 16986

Morgantown, WV

Past

April 18, 2019 - August 28, 2020

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

Franklin, TN

Past

April 9, 2019 - August 28, 2020

PRUCO SECURITIES, LLC.

CRD#: 5685

Franklin, TN

Past

March 29, 2017 - December 27, 2018

ALLSTATE FINANCIAL ADVISORS, LLC

RIA

CRD#: 109524

Spring Hill, TN

Past

March 29, 2017 - December 27, 2018

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

SPRING HILL, TN

Past

February 26, 2009 - January 20, 2017

B. RILEY WEALTH MANAGEMENT

RIA

CRD#: 2543

FRANKLIN, TN

Past

February 26, 2009 - January 20, 2017

B. RILEY WEALTH MANAGEMENT

CRD#: 2543

FRANKLIN, TN

Past

May 5, 2004 - January 29, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

NASHVILLE, TN

Past

April 30, 2004 - January 29, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

NASHVILLE, TN

Past

July 29, 2003 - April 27, 2004

HIMCO DISTRIBUTION SERVICES COMPANY

CRD#: 6604

HARTFORD, CT

Past

March 6, 2000 - June 2, 2003

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, 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.

Highlighted states indicate IAR registrations

IAR

West Virginia
(10/9/2025)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/21/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/10/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 3/15/2000

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 3/3/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 8/31/2009

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 6/9/2009

General Securities Sales Supervisor - General Module Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

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

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Andrew Digirolamo

PFS INVESTMENTS INC.

Charlotte, NC

Alyssa Jarman

OSAIC WEALTH, INC.

IAR

Bellevue, WA

Madison Epperson

FBL MARKETING SERVICES, LLC

Nevada, IA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Thomas J. Begley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Joseph Begley's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

THE HUNTINGTON INVESTMENT COMPANY

THE HUNTINGTON INVESTMENT COMPANY

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL SERVICES, LLC

B. RILEY WEALTH MANAGEMENT

B. RILEY WEALTH MANAGEMENT

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

HIMCO DISTRIBUTION SERVICES COMPANY

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/21/2000

Series 63

Date: 3/10/2000

SIE

Date: 10/1/2018

Series 31

Date: 3/15/2000

Series 7

Date: 3/3/2000

Series 9

Date: 8/31/2009

Series 10

Date: 6/9/2009

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

Similar Advisors