Michael J. Thomas
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michael Jackson Thomas, who also goes by Mike Thomas, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2006. Michael had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 10, 2015 - March 4, 2016
CETERA INVESTMENT ADVISERS LLC
March 10, 2015 - March 4, 2016
CETERA INVESTMENT SERVICES LLC
October 22, 2008 - March 12, 2015
LPL FINANCIAL LLC
October 22, 2008 - March 12, 2015
LPL FINANCIAL LLC
May 1, 2008 - December 16, 2008
IDAHO TRUST
April 4, 2008 - May 7, 2008
MUTUAL SERVICE CORPORATION
January 2, 2008 - October 30, 2008
MUTUAL SERVICE CORPORATION
April 2, 2007 - August 10, 2007
MORGAN STANLEY & CO. LLC
April 2, 2007 - August 10, 2007
MORGAN STANLEY & CO. LLC
October 16, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
August 18, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
April 5, 2006 - July 20, 2006
MWA FINANCIAL SERVICES INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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.
