Thomas J. Conneran
CETERA INVESTMENT ADVISERS LLC
ANDOVER, MN
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CRD#: 4367748
Professional summary
Thomas James Conneran, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Andover, Minnesota and CETERA WEALTH SERVICES, LLC located in Andover, Minnesota.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Thomas has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 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.
(dba) CONNERAN FINANCIAL ADVISING, LLC; Investment Related; 15138 Yellow Pine Street NW, Andover, MN 55304; Financial Advising; Owner; Start Date 10/2010; 160 hours per month with 8 of those hours occurring during trading hours; LLC used by me to operate my business through my broker/dealer. >> ASH BROKERAGE CORP; Investment Related; 7609 West Jefferson Blvd, Ft Wayne, IN 46804; Insurance and Investments; Agent; Start Date 02/2012; No hours per month; Insurance sales and services. >> PRODUCERS FINANCIAL GROUP (PFG); Investment Related; 818 Main Street, Suite 1, Fargo, ND 58103; Insurance; Agent; Start Date 06/2015; 2 hours per month with no hours during trading hours; Insurance sales and service. >> MIDLAND NATIONAL LIFE INSURANCE; Investment Related; One Sammon Plaza, Sioux Falls SD 57193; Insurance; Agent; Start Date 04/2018; 1 hour per month with no hours during trading hours; Insurance sales and service. >> PRO LIFE ACTION MINISTRIES; Non-Investment Related; 1163 Payne Ave, Saint Paul MN 55130; Pro-Life Action Ministry; Board Member; Start Date 11/2018; 2 hours per month with no hours per month during trading hours; Attend board meetings six times a year. Provide strategic guidance and advise to the Ministry Director as needed. >> CONNERAN FAMILY FARM; Non-Investment Related; Rural, Fisher MN; Farm; Owner; Start Date 09/2000; No hours per month; My siblings and I lease our land to a farmer. We hired a manager to run the business. >> CHURCH OF EPIPHANY; Non-Investment Related; 1900 111th Avenue NW, Coon Rapids, MN 55433; Church; Finance Committee Member/Trustee; Start Date 06/2012; 1 to 2 hours per month with no hours per month occurring during trading hours; Review Parish income, budgets, and spending trends; provide insight and oversight as necessary; as a trustee I vote on expenditures that are in excess of $25,000.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas James Conneran'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®
CFP®
Start date: 2012
Experience
Current
February 20, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
ANDOVER, MN
Current
February 20, 2025 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
Andover, MN
Past
December 19, 2013 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
Andover, MN
Past
October 24, 2011 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
Andover, MN
Past
February 3, 2004 - October 6, 2011
EDWARD JONES
BD
CRD#: 250
ANOKA, MN
Past
April 23, 2001 - February 3, 2004
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
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(2/20/2025)
RR
California(2/20/2025)
RR
Connecticut(2/20/2025)
RR
Florida(2/20/2025)
RR
Illinois(2/20/2025)
RR
Maryland(2/20/2025)
RR
Minnesota(2/20/2025)
IAR
Minnesota(2/20/2025)
RR
Montana(2/20/2025)
RR
New Mexico(2/20/2025)
RR
New York(2/20/2025)
RR
North Carolina(2/20/2025)
RR
North Dakota(2/20/2025)
RR
Texas(2/20/2025)
IAR
Texas(3/26/2025)
RR
Virginia(2/20/2025)
RR
Wisconsin(2/20/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
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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.
