Thomas J. Brown

CETERA INVESTMENT ADVISERS LLC

COLORADO SPRINGS, CO

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CRD#: 4261820

Professional summary

Thomas Joseph Brown is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Colorado Springs, Colorado and CETERA ADVISORS LLC located in Greenwood Village, Colorado.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Thomas has worked at 12 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 53 and Series 24 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Joseph Brown'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®

None

Experience

Current

March 21, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

COLORADO SPRINGS, CO

Current

May 3, 2005 - Present

CETERA ADVISORS LLC

Office #1: 5299 Dtc Blvd #800, Greenwood Village, CO 80111

CRD#: 10299

Greenwood Village, CO

Current

February 1, 2013 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 5299 Dtc Blvd #800, Greenwood Village, CO 80111

CRD#: 15340

Greenwood Village, CO

Current

February 1, 2013 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 5299 Dtc Blvd #800, Greenwood Village, CO 80111

CRD#: 13572

Greenwood Village, CO

Current

February 1, 2013 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 5299 Dtc Blvd #800, Greenwood Village, CO 80111

CRD#: 10358

Greenwood Village, CO

Past

April 9, 2015 - December 23, 2015

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

DENVER, CO

Past

April 9, 2015 - November 29, 2016

VSR FINANCIAL SERVICES, INC.

CRD#: 14503

DENVER, CO

Past

April 9, 2015 - November 29, 2016

INVESTORS CAPITAL CORP.

CRD#: 30613

DENVER, CO

Past

April 9, 2015 - December 31, 2016

LEGEND EQUITIES CORPORATION

CRD#: 30999

Denver, CO

Past

April 9, 2015 - November 1, 2017

GIRARD SECURITIES, INC.

CRD#: 18697

DENVER, CO

Past

April 9, 2015 - December 3, 2019

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

DENVER, CO

Past

April 9, 2015 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN DIEGO, CA

Past

December 6, 2006 - March 21, 2024

CETERA ADVISORS LLC

RIA

CRD#: 10299

DENVER, CO

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.

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

California
(12/6/2006)

Colorado
(5/3/2005)

IAR

Colorado
(3/21/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/3/2006

Uniform Combined State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/2/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 3/31/2008

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/3/2006

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

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

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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)

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.

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Firm Stability Insights

Thomas J. Brown

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA INVESTMENT SERVICES LLC

CETERA WEALTH SERVICES, LLC

CETERA FINANCIAL SPECIALISTS LLC

J.P. TURNER & COMPANY, L.L.C.

VSR FINANCIAL SERVICES, INC.

INVESTORS CAPITAL CORP.

LEGEND EQUITIES CORPORATION

GIRARD SECURITIES, INC.

SUMMIT BROKERAGE SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

CETERA ADVISORS LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/3/2006

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/2/2005

Series 53

Date: 3/31/2008

Series 24

Date: 3/3/2006

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

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