Thomas E. Sherzan

CETERA INVESTMENT ADVISERS LLC

WEST DES MOINES, IA 50266

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CRD#: 6283880

Professional summary

Thomas Edward Sherzan is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in West Des Moines, Iowa and CETERA WEALTH SERVICES, LLC located in West Des Moines, Iowa.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Thomas has worked at 10 firms and has passed the Series 65, SIE, Series 7, Series 4 and Series 24 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.

NAME OF ENTITY: BEAVERDALE LITTLE LEAGUE; NO; 5356 NW BEAVER DR, JOHNSTON, IA 50131; LITTLE LEAGUE BASEBALL ORGANIZATION; BOARD PRESIDENT; 11/2025; 5-10 HOURS PER WEEK, DUTIES: ORGANIZE AND HOLD MEETINGS, CONDUCT OFFICER OF THE DAY DUTIES, ORGANIZE TEAMS AND SCHEDULES, REPRESENT BEAVERDALE LITTLE LEAGUE IN THE COMMUNITY.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Edward Sherzan'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

Office #1: 1089 Jordan Creek Pkwy Suite 370, West Des Moines, IA 50266Office #2: 4113 83rd Street, Urbandale, IA 50322

RIA

CRD#: 105644

WEST DES MOINES, IA

Current

June 9, 2021 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 1089 Jordan Creek Pkwy Suite 370, West Des Moines, IA 50266

CRD#: 13572

West Des Moines, IA

Current

June 10, 2021 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 1089 Jordan Creek Pkwy Suite 370, West Des Moines, IA 50266

CRD#: 15340

West Des Moines, IA

Current

June 10, 2021 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 1089 Jordan Creek Pkwy Suite 370, West Des Moines, IA 50266

CRD#: 10358

West Des Moines, IA

Current

June 10, 2021 - Present

CETERA ADVISORS LLC

Office #1: 1089 Jordan Creek Pkwy Suite 370, West Des Moines, IA 50266Office #2: 1089 Jordan Creek Pkwy Suite 370, West Des Moines, IA 50266

CRD#: 10299

West Des Moines, IA

Past

July 1, 2024 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

Past

June 10, 2021 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

W Des Moines, IA

Past

June 9, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

February 20, 2019 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

DES MOINES, IA

Past

February 19, 2019 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

DES MOINES, IA

Past

November 9, 2017 - January 2, 2019

BROKER DEALER FINANCIAL SERVICES CORP.

CRD#: 8073

WEST DES MOINES, IA

Past

May 13, 2014 - November 1, 2018

INVESTMENT ADVISORS CORP

RIA

CRD#: 117531

WEST DES MOINES, IA

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.

Highlighted states indicate IAR registrations

IAR

Iowa
(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.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/13/2014

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/9/2017

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 6/22/2018

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 12/29/2017

General Securities Principal 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

Thomas E. Sherzan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Edward Sherzan's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA INVESTMENT SERVICES LLC

CETERA FINANCIAL SPECIALISTS LLC

CETERA ADVISORS LLC

AVANTAX INVESTMENT SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

CETERA WEALTH SERVICES, LLC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

BROKER DEALER FINANCIAL SERVICES CORP.

INVESTMENT ADVISORS CORP

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/13/2014

SIE

Date: 10/1/2018

Series 7

Date: 11/9/2017

Series 4

Date: 6/22/2018

Series 24

Date: 12/29/2017

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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