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Trevor Thomas

AVANTAX PLANNING PARTNERS
DUBUQUE, IA 52002
Some features on this profile are disabled
CRD#: 5476769
TT

Professional summary

Trevor Thomas, CFP®, who also goes by Trevor Michael Thomas, is a registered financial advisor currently at AVANTAX PLANNING PARTNERS, INC. located in Dubuque, Iowa and CETERA INVESTMENT ADVISERS LLC located in Dubuque, Iowa.

Trevor is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Trevor has worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Trevor Michael 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Trevor Thomas'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®
CFP®

Certified Financial Planner

Experience

Current

April 15, 2021 - Present

AVANTAX PLANNING PARTNERS, INC.

Office #1: 3390 Ashbury Road, Dubuque, IA 52002
RIA
CRD#: 106237
DUBUQUE, IA
Current

September 5, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 3390 Asbury Road, Dubuque, IA 52002
RIA
CRD#: 105644
DUBUQUE, IA
Past

March 22, 2021 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA
CRD#: 104556
Dubuque, IA
Past

June 23, 2015 - October 19, 2020

CHOREO, LLC

RIA
CRD#: 111221
ROCHESTER, MN
Past

June 18, 2010 - February 8, 2013

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
CEDAR RAPIDS, IA
Past

June 2, 2010 - February 8, 2013

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
CEDAR RAPIDS, IA
Past

July 4, 2008 - May 22, 2010

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
CEDAR RAPIDS, IA

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.

Highlighted states indicate IAR registrations

IAR
Iowa
(4/15/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/23/2015
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/27/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/23/2009
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/3/2008
Investment Company Products/Variable Contracts Representative Examination

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
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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644Dubuque, IA 52002

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