TB
Thomas P. Brennan
CETERA INVESTMENT ADVISERS LLC
BLUE BELL, PA 19422
Some features on this profile are disabled
CRD#: 6134503
TB
Professional summary
Thomas Paul Brennan III, who also goes by Tom Brennan, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Blue Bell, Pennsylvania and CETERA WEALTH SERVICES, LLC located in Blue Bell, Pennsylvania.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Thomas has worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tom Brennan
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; 653 SKIPPACK PIKE SUITE 15 A; BLUE BELL; PA; 19422; Fixed Insurance Sales; Independent Insurance Agent; 1/13/2021; 160; 160; SALES OF FIXED INSURANCE PRODUCTS 2. NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 563 SKIPPACK PICK SUITE 15 A; BLUE BELL; PA; 19422; Fixed Insurance Sales; Independent Insurance Agent; 1/13/2021; 160; 160; SALES OF FIXED INSURANCE PRODUCTS 3. NAME OF ENTITY:Wissahickon Creek Advisers; Yes; 653 W. Skippack Pike Suite 15A,; Blue Bell; PA; 19422; Financial Services/dba; Financial Representative; 1/25/2021; 100; 100; Sale and Service Insurance, Securities and Investment Products 4. NAME OF OTHER BUSINESS: ONDIK SHARKEY; INVESTMENT RELATED: NO; ADDRESS: 109 N. WAYNE AVE; WAYNE; PA; 19087; NATURE OF BUSINESS: SALE OF PROPERTY CASUALTY INSURANCE AND EMPLOYEE BENEFITS; START DATE: 01/01/2021; POSITION/TITLE/RELATIONSHIP: ASSOCIATE AGENT; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 5; BRIEF DESCRIPTION OF DUTIES: SALE OF EMPLOYEE BENEFITS PRODUCTS AND PROPERTY CASUALTY INSURANCE
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Paul Brennan III's 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®
NoneExperience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 653 Skippack Pike Ste 15a, Blue Bell, PA 19422RIA
CRD#: 105644
BLUE BELL, PA
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 653 Skippack Pike Ste 15a, Blue Bell, PA 19422BD
CRD#: 13572
Blue Bell, PA
Past
December 2, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
January 13, 2021 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
BLUE BELL, PA
Past
April 10, 2017 - January 7, 2021
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
KNG OF PRUSSIA, PA
Past
November 19, 2013 - February 27, 2017
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
PHILADELPHIA, PA
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
RR
California(6/9/2021)
RR
Florida(6/13/2023)
RR
North Carolina(6/9/2021)
RR
Pennsylvania(6/9/2021)
IAR
Pennsylvania(6/29/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/31/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
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)Upgrade to AdvisorCheck Premium
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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)
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.
