Thomas M. Lord

CETERA INVESTMENT ADVISERS LLC

EATONTOWN, NJ 07724

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CRD#: 4550000

Professional summary

Thomas Michael Lord, who also goes by Thomas Lord, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Eatontown, New Jersey and CETERA ADVISORS LLC located in Eatontown, New Jersey.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Thomas has worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas Lord

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.

NAME OF OTHER BUSINESS: ROCKDALE FINANCIAL SERVICES, LLC.CRD# 128829 INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: ADVISORY SERVICES POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISORY REPRESENTATIVE START DATE: 03/2021 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: ADMINISTRATIVE ROLE

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Michael Lord'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

Office #1: 99 Corbett Way Ste 103, Eatontown, NJ 07724

RIA

CRD#: 105644

EATONTOWN, NJ

Current

March 18, 2021 - Present

CETERA ADVISORS LLC

Office #1: 99 Corbett Way Ste 103, Eatontown, NJ 07724

CRD#: 10299

Eatontown, NJ

Past

March 19, 2021 - March 21, 2024

CETERA ADVISORS LLC

RIA

CRD#: 10299

GREENWOOD VILLAGE, IL

Past

June 21, 2019 - March 22, 2021

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

OAKHURST, NJ

Past

June 20, 2019 - March 22, 2021

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

OAKHURST, NJ

Past

September 16, 2015 - October 6, 2017

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

SHREWSBURY, NJ

Past

July 1, 2015 - October 4, 2017

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SHREWSBURY, NJ

Past

October 21, 2004 - November 3, 2014

CETERA ADVISORS LLC

CRD#: 10299

EATONTOWN, NJ

Past

July 11, 2002 - November 20, 2002

BERGEN CAPITAL, INC.

CRD#: 46348

HASBROUCK HEIGHTS, NJ

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

New Jersey
(3/18/2021)

IAR

New Jersey
(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: 8/31/2015

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/20/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/4/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/10/2002

General Securities Representative 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 M. Lord

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Michael Lord's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA ADVISORS LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

CETERA ADVISORS LLC

BERGEN CAPITAL, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/31/2015

Series 63

Date: 8/20/2002

SIE

Date: 10/4/2017

Series 7

Date: 7/10/2002

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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