KT
Kristen N. Thomas
CETERA INVESTMENT ADVISERS LLC
HUNTERSVILLE, NC
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CRD#: 6730539
KT
Professional summary
Kristen Nicole Thomas, CFP®, who also goes by Kristen Nicole Gabelt, Kristen Gabelt, Kristen Thomas, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Huntersville, North Carolina and CETERA WEALTH SERVICES, LLC located in Sparks, Maryland.
Kristen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Kristen has worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kristen Nicole Gabelt | Kristen Gabelt | Kristen 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.
N/L FINANCIAL SERVICES, LLC POSITION: Financial Advisor NATURE: We offer investment planning, retirement planning, financial planning, estate planning and tax planning services through this entity INVESTMENT RELATED: Yes NUMBER OF HOURS: 130 SECURITIES TRADING HOURS: 130 START DATE: 01/02/2024 ADDRESS: 12813 Dunloe Wood Drive, Huntersville NC 28078, United States DESCRIPTION: Meeting with clientProviding asset managementReview investment performanceReviewing financial plansMeeting insurance needs SOUTHERN ROOTED GARDENS POSITION: Sole Proprietor NATURE: I recently started a small garden consulting business. This company will focus on helping individuals with existing gardens and doing garden design for individuals looking to install a new garden. This is a new company and it is not profitable yet. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 10/16/2023 ADDRESS: 12813 Dunloe Wood Drive, Huntersville NC 28078, United States DESCRIPTION: I am the owner of a small gardening consulting business. I will focus on helping existing gardeners with their gardens, garden design and small garden installations.
CRS (Client Relationship Summary) - RIA
Click below to view Kristen Nicole 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®
CFP®
Start date: 2022
Experience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #2: 53 Loveton Circle Suite 120, Sparks, MD 21152RIA
CRD#: 105644
HUNTERSVILLE, NC
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 53 Loveton Circle Suite 120, Sparks, MD 21152BD
CRD#: 13572
Sparks, MD
Past
January 2, 2024 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Huntersville, NC
Past
January 2, 2024 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Huntersville, NC
Past
March 16, 2021 - January 4, 2024
IFG ADVISORY, LLC
RIA
CRD#: 168012
Concord, NC
Past
October 7, 2020 - January 17, 2024
LPL FINANCIAL LLC
BD
CRD#: 6413
CONCORD, NC
Past
July 26, 2017 - September 16, 2020
MDT ADVISERS, A DIVISION OF FEDERATED MDTA LLC
RIA
CRD#: 109355
Boston, MA
Past
July 18, 2017 - September 16, 2020
FEDERATED SECURITIES CORP.
RIA
CRD#: 5009
PITTSBURGH, PA
Past
July 18, 2017 - September 16, 2020
FEDERATED INVESTMENT COUNSELING
RIA
CRD#: 105325
Pittsburgh, PA
Past
February 6, 2017 - September 16, 2020
FEDERATED SECURITIES CORP.
BD
CRD#: 5009
PITTSBURGH, 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
Florida(9/5/2025)
RR
Idaho(9/5/2025)
RR
Maryland(9/5/2025)
IAR
Maryland(9/17/2025)
RR
Mississippi(9/18/2025)
RR
Missouri(9/5/2025)
RR
North Carolina(9/5/2025)
IAR
North Carolina(9/5/2025)
RR
Pennsylvania(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Virginia(9/5/2025)
RR
West Virginia(9/5/2025)
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
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.
