Thomas W. Pollock

CETERA INVESTMENT ADVISERS LLC

Port Saint Lucie, FL

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CRD#: 6564272

Professional summary

Thomas William Pollock Jr, CFP®, who also goes by Thomas William Pollock, Thomas Pollock, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Port Saint Lucie, Florida and CETERA WEALTH SERVICES, LLC located in Neptune, New Jersey.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Thomas has worked at 6 firms and has passed the Series 63, Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas William Pollock | Thomas Pollock

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) BRENDON PIERSON INC. POSITION: Financial Advisor NATURE: -Work closely with clients to plan, protect, and grow their financial well-being by providing financial planning, tax planning, and investment guidance INVESTMENT RELATED: Yes NUMBER OF HOURS: 60 SECURITIES TRADING HOURS: 50 START DATE: 01/13/2025 ADDRESS: 4814 Outlook Drive, Suite 100, Wall NJ 07753 DESCRIPTION: -Investment Research-Financial Planning-Client Management-Tax Planning-Portfolio Construction

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas William Pollock Jr'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®

CFP^®

Certified Financial Planner

Start date: 2017

Experience

Current

August 22, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #2: 3311 Route 33 Suite 100, Neptune, NJ 07753

RIA

CRD#: 105644

Port Saint Lucie, FL

Current

September 5, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 3311 Route 33 Suite 100, Neptune, NJ 07753

CRD#: 13572

Neptune, NJ

Past

May 2, 2025 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

Neptune, NJ

Past

January 20, 2025 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

Port Saint Lucie, FL

Past

January 8, 2021 - January 3, 2025

ALPHA BETA GAMMA WEALTH MANAGEMENT

RIA

CRD#: 286579

PALM BEACH GARDENS, FL

Past

January 5, 2016 - July 30, 2020

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

STUART, FL

Past

November 2, 2015 - July 30, 2020

UBS FINANCIAL SERVICES INC.

CRD#: 8174

STUART, 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

Connecticut
(9/19/2025)

IAR

Florida
(8/22/2025)

Florida
(9/5/2025)

Michigan
(10/30/2025)

New Jersey
(9/5/2025)

IAR

New Jersey
(9/5/2025)

Pennsylvania
(10/29/2025)

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

Series 63

Date: 5/29/2025

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 1/4/2016

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/22/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/2/2015

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

Thomas W. Pollock

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas William Pollock Jr's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

AVANTAX INVESTMENT SERVICES, INC.

AVANTAX ADVISORY SERVICES

ALPHA BETA GAMMA WEALTH MANAGEMENT

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/29/2025

Series 66

Date: 1/4/2016

Series 7TO

Date: 3/22/2024

SIE

Date: 10/1/2018

Series 7

Date: 11/2/2015

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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