Thomas D. Pound

CETERA INVESTMENT ADVISERS LLC

CAPE CORAL, FL

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CRD#: 5914938

Professional summary

Thomas Daniel Pound is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Cape Coral, Florida and CETERA WEALTH SERVICES, LLC located in Cape Coral, Florida.

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 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) Lee County Schools~'NIR'~2855 Colonial Boulevard~Fort Myers~FL~33996~Other~Employee~8/1/2017~150hrs~80hrs~Mathematics Teacher 2) KELLER AND KOCZARA; POSITION: Tax Specialist NATURE: Seasonal tax specialist. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 03/15/2022; 1314 Lafayette Street, Cape Coral FL 33904, Tax specialist 3) LEE COUNTY SCHOOLS; POSITION: Employee NATURE: Education INVESTMENT RELATED: No NUMBER OF HOURS: 150 SECURITIES TRADING HOURS: 80 START DATE: 08/01/2017 ADDRESS: 2855 Colonial Boulevard, Fort Myers FL 33996: Finance and Mathematics Teacher 4) USA DANCE CHAPTER #6049 POSITION: President NATURE: President of a local chapter for USA Dance Inc. a non-profit promoting ballroom dancing. INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 12/01/2024 ADDRESS: 429 SE 4th Place, Cape Coral FL 33990, United States DESCRIPTION: Coordinate ballroom dancing events.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Daniel Pound'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

August 12, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

CAPE CORAL, FL

Current

September 5, 2025 - Present

CETERA WEALTH SERVICES, LLC

CRD#: 13572

Cape Coral, FL

Past

July 14, 2017 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

Cape Coral, FL

Past

September 27, 2016 - July 12, 2017

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

Cape Coral, FL

Past

September 27, 2016 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

Cape Coral, FL

Past

May 2, 2014 - October 1, 2014

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

CAPE CORAL, FL

Past

April 29, 2014 - October 1, 2014

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

CAPE CORAL, FL

Past

January 2, 2013 - July 25, 2013

EDWARD JONES

RIA

CRD#: 250

CAPE CORAL, FL

Past

July 13, 2011 - December 31, 2012

EDWARD JONES

RIA

CRD#: 250

CAPE CORAL, FL

Past

June 10, 2011 - July 25, 2013

EDWARD JONES

CRD#: 250

CAPE CORAL, FL

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

District of Columbia
(9/5/2025)

IAR

Florida
(8/12/2025)

Florida
(9/5/2025)

Ohio
(9/5/2025)

Rhode Island
(9/5/2025)

Vermont
(9/5/2025)

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: 6/24/2011

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/9/2011

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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Thomas D. Pound

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Daniel Pound's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

AVANTAX ADVISORY SERVICES

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

EDWARD JONES

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/24/2011

SIE

Date: 10/1/2018

Series 7

Date: 6/9/2011

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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