ST
Sean C. Thomas
CETERA INVESTMENT ADVISERS LLC
HAMPDEN, ME
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CRD#: 4425164
ST
Professional summary
Sean Charles Thomas, who also goes by Sean Charles Thomas, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Hampden, Maine and CETERA WEALTH SERVICES, LLC located in Bangor, Maine.
Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Sean has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sean Charles Thomas
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) TMATT, INC., PC; Investment Related; 532 Hammond St, STE A; Bangor, ME, 04401; Accounting Services/Tax Preparation; Owner; 1/1/2011; 160hrs; 160hrs; I sit down with clients to assess their needs and assist them in the area they need. Preparing taxes, developing retirement plans and so forth 2) NORTH COAST SERVICES POSITION: Member of Board NATURE: They collect copper, plastic, gold bearing crowns and wire materials from municipalities to sell for parts INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2020 ADDRESS: 532 Hammond Street, Ste. A, Bangor ME 04401, United States DESCRIPTION: I would act as a conduit between the bank that has approved a line of credit and the regulatory agency (EPA) to release funds for the purpose of cleanup if needed 3) TMATT TAX AND FINANCIAL POSITION: President NATURE: Tax and wealth management services INVESTMENT RELATED: Yes NUMBER OF HOURS: 130 SECURITIES TRADING HOURS: 130 START DATE: 01/01/2011 ADDRESS: 532 Hammond Street, Ste. A, Bangor ME 04401, United States DESCRIPTION: Prepare tax returns and prepare wealth management plans for clients. I will discover their goals, risk tolerance and provide solutions for their retirement and other assets. 4) RENTAL PROPERTY POSITION: Owner of rental property NATURE: Have a second home which I began to rent from time to time INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/15/2021 ADDRESS: 532 Hammond Street, Ste. A, Bangor ME 04401, United States DESCRIPTION: Arrange payment of rental and pay the property expenses 5) THE CHURCH OF JESUS CHRIST OF LATTER-DAY SAINTS POSITION: Bishop NATURE: I minister to our local congregation in their spiritual and temporal needs. INVESTMENT RELATED: No NUMBER OF HOURS: 60 SECURITIES TRADING HOURS: 1 START DATE: 07/31/2022 ADDRESS: 639 Grandview Ave, Bangor ME 04401, United States DESCRIPTION: I preside over a local congregation of approximately 130 members. I lead both the adult and youth groups in their temporal and spiritual needs. Myself, with my two counselors and clerk, collect and deposit tithes and offerings.I assist those in need with temporary assistance in a variety of areas, namely housing, utilities and food.
CRS (Client Relationship Summary) - RIA
Click below to view Sean Charles Thomas'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
RIA
CRD#: 105644
HAMPDEN, ME
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 532 Hammond Street Ste. A, Bangor, ME 04401BD
CRD#: 13572
Bangor, ME
Past
May 24, 2012 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
HAMPDEN, ME
Past
June 28, 2004 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Bangor, ME
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(9/5/2025)
RR
California(9/5/2025)
RR
Colorado(9/5/2025)
RR
Connecticut(9/18/2025)
RR
Delaware(9/5/2025)
RR
Florida(9/5/2025)
RR
Indiana(9/5/2025)
RR
Louisiana(9/5/2025)
RR
Maine(9/5/2025)
IAR
Maine(9/5/2025)
RR
Massachusetts(9/5/2025)
RR
New Hampshire(9/5/2025)
RR
New Jersey(9/5/2025)
RR
New York(9/5/2025)
RR
Pennsylvania(9/5/2025)
RR
Tennessee(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Utah(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
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.
