RT
Rachael P. Thomas
CETERA INVESTMENT ADVISERS LLC
MOUNTAIN BROOK, AL 35213
Some features on this profile are disabled
CRD#: 6197599
RT
Professional summary
Rachael Pintaric Thomas, who also goes by Rachael Lynn Pintaric, Rachael Lynn Thomas, Rachael Pintaric Thomas, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Mountain Brook, Alabama and CETERA WEALTH SERVICES, LLC located in Homewood, Alabama.
Rachael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Rachael has worked at 8 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rachael Lynn Pintaric | Rachael Lynn Thomas | Rachael Pintaric 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.
EASTER SEALS OF BIRMINGHAM AREA; Non-Investment Related; 529 Beacon Pkwy West, Ste 214, Birmingham, AL 35209; Community Service Organization; Junior Board Chair; Start Date 08/2021; 2 hours per month with no hours per month during trading hours; Plan and execute annual events for fundraising purposes, including Mardi Gras Ball and Golf Tournament. Serve as a liaison between the Junior Board and the Senior Board. >> EASTER SEALS OF BIRMINGHAM; Non-Investment Related; 529 Beacon Pkwy West, Ste 214, Birmingham, AL 35209; Community Service Organization; Board Member; Start Date 01/2023; 4 hours per month with no hours per month occurring during trading hours; Volunteer position in which my role is to provide guidance and make leadership decisions for an organization that helps children and adults with disabilities.
CRS (Client Relationship Summary) - RIA
Click below to view Rachael Pintaric Thomas'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
February 20, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 4072 Old Leeds Road, Mountain Brook, AL 35213Office #2: 2820 Central Avenue, Homewood, AL 35203RIA
CRD#: 105644
MOUNTAIN BROOK, AL
Current
February 20, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2820 Central Avenue, Homewood, AL 35203BD
CRD#: 13572
HOMEWOOD, AL
Past
January 2, 2022 - December 12, 2023
INVESTMENT DISTRIBUTORS, INC.
BD
CRD#: 35490
Birmingham, AL
Past
September 26, 2017 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
Birmingham, AL
Past
September 26, 2017 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
Birmingham, AL
Past
December 5, 2016 - July 18, 2017
HIGHLAND ASSOCIATES INC
RIA
CRD#: 104948
BIRMINGHAM, AL
Past
August 8, 2016 - July 19, 2017
ALPS DISTRIBUTORS, INC.
BD
CRD#: 16853
BIRMINGHAM, AL
Past
January 4, 2016 - July 11, 2016
INTL ADVISORY CONSULTANTS INC.
RIA
CRD#: 130888
Birmingham, AL
Past
May 21, 2015 - July 5, 2016
STERNE, AGEE & LEACH, INC.
BD
CRD#: 791
BIRMINGHAM, AL
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
Alabama(2/20/2025)
IAR
Alabama(2/20/2025)
RR
Alaska(2/20/2025)
RR
Arizona(2/20/2025)
RR
Arkansas(2/20/2025)
RR
California(2/20/2025)
RR
Colorado(2/20/2025)
RR
Connecticut(2/20/2025)
RR
Delaware(2/20/2025)
RR
District of Columbia(2/20/2025)
RR
Florida(2/20/2025)
RR
Georgia(2/20/2025)
RR
Hawaii(2/20/2025)
RR
Idaho(2/20/2025)
RR
Illinois(2/20/2025)
RR
Indiana(2/20/2025)
RR
Iowa(2/20/2025)
RR
Kansas(2/20/2025)
RR
Kentucky(2/20/2025)
RR
Louisiana(2/20/2025)
RR
Maine(2/20/2025)
RR
Maryland(2/20/2025)
RR
Massachusetts(2/20/2025)
RR
Michigan(2/20/2025)
RR
Minnesota(2/20/2025)
RR
Mississippi(2/20/2025)
RR
Missouri(2/20/2025)
RR
Montana(2/20/2025)
RR
Nebraska(2/20/2025)
RR
Nevada(2/20/2025)
RR
New Hampshire(2/20/2025)
RR
New Jersey(2/20/2025)
RR
New Mexico(2/20/2025)
RR
New York(2/20/2025)
RR
North Carolina(2/20/2025)
RR
North Dakota(2/20/2025)
RR
Ohio(2/20/2025)
RR
Oklahoma(2/20/2025)
RR
Oregon(2/20/2025)
RR
Pennsylvania(2/20/2025)
RR
Rhode Island(2/20/2025)
RR
South Carolina(2/20/2025)
RR
South Dakota(2/20/2025)
RR
Tennessee(2/20/2025)
RR
Texas(2/20/2025)
IAR
Texas(4/1/2025)
RR
Utah(2/20/2025)
RR
Vermont(2/20/2025)
RR
Virginia(2/20/2025)
RR
Washington(2/20/2025)
RR
West Virginia(2/20/2025)
RR
Wisconsin(2/20/2025)
RR
Wyoming(2/20/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Mountain Brook, AL 35213TRUST BUT VERIFY
Monitor Rachael Thomas
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
