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TM

Thomas C. Martin

CETERA INVESTMENT ADVISERS LLC
NORTH HAVEN, CT 06473
Some features on this profile are disabled
CRD#: 5900181
TM

Professional summary

Thomas Charles Martin, who also goes by Tom Martin, Tommy Martin, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in North Haven, Connecticut and CETERA INVESTMENT SERVICES LLC located in North Haven, Connecticut.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Thomas has worked at 9 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Tom Martin | Tommy Martin

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) MARTIN STRATEGIC WEALTH LLC, DBA FOR CETERA BUSINESS, CONTINUITY AND SUCCESSION PLANNING, 100% OWNER, 4/HRS/WK.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Charles Martin'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

April 7, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 127 Washington Ave 2nd Floor West, North Haven, CT 06473
RIA
CRD#: 105644
NORTH HAVEN, CT
Current

April 7, 2025 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 127 Washington Ave 2nd Floor West, North Haven, CT 06473
BD
CRD#: 15340
North Haven, CT
Past

January 24, 2025 - February 6, 2025

OSAIC WEALTH, INC.

RIA
CRD#: 23131
GLASTONBURY, CT
Past

January 24, 2025 - February 6, 2025

OSAIC WEALTH, INC.

BD
CRD#: 23131
GLASTONBURY, CT
Past

March 27, 2023 - January 24, 2025

OSAIC FA, INC.

RIA
CRD#: 3978
GLASTONBURY, CT
Past

March 27, 2023 - January 24, 2025

OSAIC FA, INC.

BD
CRD#: 3978
GLASTONBURY, CT
Past

January 15, 2021 - March 24, 2023

INDEPENDENT FINANCIAL GROUP, LLC

RIA
CRD#: 7717
HARTFORD, CT
Past

January 15, 2021 - March 24, 2023

INDEPENDENT FINANCIAL GROUP, LLC

BD
CRD#: 7717
HARTFORD, CT
Past

November 21, 2019 - January 5, 2021

HORNOR, TOWNSEND & KENT, LLC

RIA
CRD#: 4031
NORTH HAVEN, CT
Past

October 17, 2019 - January 5, 2021

HORNOR, TOWNSEND & KENT, LLC

BD
CRD#: 4031
NORTH HAVEN, CT
Past

January 11, 2016 - November 6, 2019

CLEAR PATH FINANCIAL PLANNING

RIA
CRD#: 281777
CHESHIRE, CT
Past

March 6, 2014 - November 24, 2015

WADDELL & REED

RIA
CRD#: 866
HAMDEN, CT
Past

March 6, 2014 - November 24, 2015

WADDELL & REED

BD
CRD#: 866
HAMDEN, CT
Past

January 17, 2014 - February 26, 2014

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
GUILFORD, CT
Past

March 15, 2013 - July 10, 2013

WADDELL & REED

BD
CRD#: 866
HAMDEN, CT
Past

June 23, 2011 - December 22, 2011

WADDELL & REED

BD
CRD#: 866
HAMDEN, CT

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

IAR
Connecticut
(4/7/2025)
RR
Connecticut
(4/8/2025)
RR
Texas
(5/20/2025)
IAR
Texas
(5/20/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 5/15/2025
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 1/29/2014
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/24/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/22/2011
General Securities Representative 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
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#: 105644North Haven, CT 06473

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