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Thomas B. Makin

CETERA INVESTMENT ADVISERS LLC
MARIETTA, GA 30062
Some features on this profile are disabled
CRD#: 4721473
TM

Professional summary

Thomas Brett Makin, who also goes by Thomasbrett Makin, Thomas Brett Makin, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Marietta, Georgia and CETERA INVESTMENT SERVICES LLC located in Marietta, Georgia.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Thomas has worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Thomasbrett Makin | Thomas Brett Makin

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 Brett Makin'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

December 8, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 2486 Roswell Road Ne, Marietta, GA 30062
RIA
CRD#: 105644
MARIETTA, GA
Current

December 5, 2025 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 2486 Roswell Road Ne, Marietta, GA 30062
BD
CRD#: 15340
Marietta, GA
Past

October 6, 2025 - December 5, 2025

EMPOWER ADVISORY GROUP, LLC

RIA
CRD#: 112058
Marietta, GA
Past

September 20, 2025 - December 5, 2025

EMPOWER FINANCIAL SERVICES, INC.

BD
CRD#: 13109
GREENWOOD VILLAGE, CO
Past

December 16, 2024 - May 2, 2025

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
ATLANTA, GA
Past

December 13, 2024 - May 2, 2025

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ATLANTA, GA
Past

July 6, 2021 - November 15, 2024

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
MARIETTA, GA
Past

July 2, 2021 - November 15, 2024

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
MARIETTA, GA
Past

April 10, 2017 - June 3, 2021

PFS INVESTMENTS INC.

RIA
CRD#: 10111
FARMINGTON, UT
Past

February 4, 2004 - June 3, 2021

PFS INVESTMENTS INC.

BD
CRD#: 10111
FARMINGTON, UT

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
Florida
(1/26/2026)
RR
Georgia
(12/5/2025)
IAR
Georgia
(12/8/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/24/2017
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/9/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 9/20/2025
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 2/3/2004
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 10/26/2007
Investment Company Products/Variable Contracts Principal Examination
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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644Marietta, GA 30062

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