Richard E. Thomas

CETERA INVESTMENT ADVISERS LLC

Enumclaw, WA

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CRD#: 5983873

Professional summary

Richard Evan Thomas is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Enumclaw, Washington and CETERA WEALTH SERVICES, LLC located in Enumclaw, Washington.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Richard has worked at 7 firms and has passed the Series 65, Series 63, 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) NAME OF ENTITY: Independent Insurance Agent; Yes; SAME AS REGUSTERED LOCATION; Fixed insurance sales; Independent Insurance Agent; 6/3/2019; 160; 160; Sales of fixed insurance products 2) NAME OF OTHER BUSINESS: WESTSTAR PROSPERITY PARTNERS, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 10/2023, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 50, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Evan 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®

None

Experience

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

Enumclaw, WA

Current

June 9, 2021 - Present

CETERA WEALTH SERVICES, LLC

CRD#: 13572

Enumclaw, WA

Past

June 9, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

June 5, 2019 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

Enumclaw, WA

Past

June 3, 2019 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

Enumclaw, WA

Past

May 10, 2019 - June 6, 2019

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

FIFE, WA

Past

May 10, 2019 - June 6, 2019

CETERA WEALTH SERVICES, LLC

CRD#: 13572

FIFE, WA

Past

March 27, 2017 - December 21, 2018

CUSO FINANCIAL SERVICES, L.P.

RIA

CRD#: 42132

SEATTLE, WA

Past

March 27, 2017 - December 21, 2018

CUSO FINANCIAL SERVICES, L.P.

CRD#: 42132

SEATTLE, WA

Past

April 19, 2016 - March 20, 2017

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

REDMOND, WA

Past

June 27, 2014 - September 22, 2016

KESTRA INVESTMENT SERVICES, LLC

RIA

CRD#: 42046

REDMOND, WA

Past

June 27, 2014 - March 20, 2017

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

REDMOND, WA

Past

September 19, 2012 - July 7, 2014

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

BELLEVUE, WA

Past

September 19, 2012 - July 7, 2014

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

BELLEVUE, WA

Past

February 1, 2012 - May 25, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

BELLEVUE, WA

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

California
(6/9/2021)

Florida
(10/14/2025)

Idaho
(6/9/2021)

Nebraska
(10/28/2022)

Oregon
(6/9/2021)

Washington
(6/9/2021)

IAR

Washington
(6/29/2023)

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 65

Date: 8/28/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/11/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/31/2012

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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Firm Stability Insights

Richard E. Thomas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Evan Thomas's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

CUSO FINANCIAL SERVICES, L.P.

CUSO FINANCIAL SERVICES, L.P.

KESTRA ADVISORY SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/28/2012

Series 63

Date: 6/11/2012

SIE

Date: 10/1/2018

Series 7

Date: 1/31/2012

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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