TW
Thomas D. Wolf
CETERA INVESTMENT ADVISERS LLC
RUSSELLVILLE, AR 72801
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CRD#: 6708427
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Professional summary
Thomas Dillon Wolf, who also goes by Tom Wolf, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Russellville, Arkansas and CETERA ADVISORS LLC located in Russellville, Arkansas.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Thomas has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tom Wolf
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 OTHER BUSINESS: HOWLING ACRES FARM INVESTMENT RELATED: NO ADDRESS: 539 PRIVATE ROAD 3548 CLARKSVILLE, AR 72830 NATURE OF BUSINESS: FARMING START DATE: 12/2020 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 POSITION/TITLE/RELATIONSHIP: OWNER BRIEF DESCRIPTION OF DUTIES: OVERSEE HAY PRODUCTIVITY 2. NAME OF OTHER BUSINESS APEX WEALTH FINANCIAL INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 09/2024 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 POSITION/TITLE/RELATIONSHIP: CLIENT ADVISOR BRIEF DESCRIPTION OF DUTIES: PROVIDING FINANCIAL SERVICES TO CLIENTS
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Dillon Wolf'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
September 30, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1611 West Main Street, Russellville, AR 72801RIA
CRD#: 105644
RUSSELLVILLE, AR
Current
September 30, 2024 - Present
CETERA ADVISORS LLC
Office #1: 1611 West Main Street, Russellville, AR 72801BD
CRD#: 10299
RUSSELLVILLE, AR
Past
November 10, 2016 - October 25, 2024
ARVEST WEALTH MANAGEMENT
RIA
CRD#: 42057
RUSSELLVILLE, AR
Past
October 12, 2016 - October 25, 2024
ARVEST WEALTH MANAGEMENT
BD
CRD#: 42057
RUSSELLVILLE, AR
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(2/27/2025)
RR
Arkansas(9/30/2024)
IAR
Arkansas(9/30/2024)
RR
California(9/30/2024)
RR
Florida(10/7/2025)
RR
Georgia(9/30/2024)
RR
Kansas(9/30/2024)
RR
Missouri(9/30/2024)
RR
New York(12/26/2024)
RR
Tennessee(7/15/2025)
Exams
State Security Law Exam
General 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
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Russellville, AR 72801TRUST BUT VERIFY
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