TN
Thomas J. Nervegna
CETERA INVESTMENT ADVISERS LLC
TARRYTOWN, NY 10591
Some features on this profile are disabled
CRD#: 703075
TN
Professional summary
Thomas Joseph Nervegna, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Tarrytown, New York and CETERA WEALTH SERVICES, LLC located in Tarrytown, New York.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1980. Thomas has worked at 6 firms and has passed the Series 65, Series 63, Series 6TO, Series 22TO, SIE, Series 7, Series 1 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.
1. FIXED INSURANCE WITH VARIOUS COMPANIES,
INVESTMENT RELATED,
SAME AS REGISTERED ADDRESS,
FIXED INSURANCE,
START 06/1976,
<1HR/WK (TRADING HOURS),
INSURANCE AGENT - SELLS LIFE, HEALTH, DISABILITY, ANNUITIES, AND LONG TERM CARE;
2. THOMAS J. NERVEGNA,
NOT INVESTMENT RELATED,
SAME AS REGISTERED HOME ADDRESS,
RESIDENTIAL REAL ESTATE,
START 1977,
0HRS/WK (NON-TRADING HOURS),
BROKER IN NY, SALESPERSON IN NJ, NOT ACTIVE ~1 SALE EVERY 5-6 YEARS;
3. FREE AND ACCEPTED FREE MASONS,
NOT INVESTMENT RELATED,
MAIN STREET, SPARKILL, NY,
FRATERNITY,
START 2006,
3RS/WK (NON-TRADING HOURS),
PAST MASTER, DIRECTOR OF BROTHERHOOD FUND;
4. AMWAY,
NOT INVESTMENT RELATED,
SAME AS REGISTERED HOME ADDRESS,
MULTI-LEVEL MARKETING, GEARED PRIMARILY, THOUGH NOT EXCLUSIVELY, TO AID THE UNDERPRIVILEGED TO DEVELOP AND SUSTAIN AN INCOME,
START 11/04/2013,
3-4 HRS/WK (NON-TRADING HOURS),
DISTRIBUTOR, LEADER OF GROUP OR "DOWN-LINE". RECRUIT & AID OTHERS TO DEVELOP & INCREASE THEIR INCOME. NO SECURITIES CLIENTS.;
5.NAME OF OTHER BUSINESS: STONEYPOINT-WAWAYANDA MASONIC LODGE #313
INVESTMENT RELATED: NO
ADDRESS: 601 MAIN ST SPONKILL, NY 10976
NATURE OF BUSINESS: FRATERNAL ORGANIZATION
START DATE: 10/2016
APX NUMBER OF HOURS PER WEEK: 3
APX NUMBER OF TRADING HOURS PER WEEK: 3
POSITION/TITLE/RELATIONSHIP: SECRETARY
BRIEF DESCRIPTION OF DUTIES: RECORD MEETINGS, KEEP NON-FINANCIAL RECORDS
6. NAME OF OTHER BUSINESS: GOSHEN MASONIC LODGE #365 ;
INVESTMENT RELATED: NO ;
ADDRESS: 233 MAIN ST, GOSHEN NY 10924 ;
NATURE OF BUSINESS: FRATERNAL SOCIETY ;
START DATE: 09/2019 ;
POSITION/TITLE/RELATIONSHIP: SECRETARY ;
APX NUMBER OF HOURS PER WEEK: 2- 3;
APX NUMBER OF HOURS DURING TRADING HOURS: 2- 3;
BRIEF DESCRIPTION OF DUTIES: RECORD MEETINGS, KEEP NON-FINANCIAL RECORDS ;
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Joseph Nervegna'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: 1986
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 303 S Broadway Ste 103, Tarrytown, NY 10591RIA
CRD#: 105644
TARRYTOWN, NY
Current
September 3, 2013 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 303 S Broadway Ste 103, Tarrytown, NY 10591BD
CRD#: 13572
Tarrytown, NY
Past
March 31, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
August 1, 2003 - September 3, 2013
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
TARRYTOWN, NY
Past
February 12, 1993 - January 28, 2003
NATHAN & LEWIS SECURITIES, INC.
RIA
CRD#: 8503
HARTSDALE, NY
Past
September 3, 1991 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
BD
CRD#: 8503
NEW YORK, NY
Past
January 13, 1981 - September 6, 1991
CPC SECURITIES CORPORATION
BD
CRD#: 8461
Past
January 2, 1980 - January 16, 1981
ADVANTAGE CAPITAL CORPORATION
BD
CRD#: 146
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
Colorado(9/3/2013)
RR
Connecticut(9/3/2013)
RR
Florida(9/3/2013)
RR
Indiana(3/10/2017)
RR
Maryland(1/8/2020)
RR
Massachusetts(10/10/2019)
RR
Nevada(9/3/2013)
RR
New Jersey(9/3/2013)
RR
New York(9/3/2013)
IAR
New York(6/29/2023)
RR
North Carolina(9/3/2013)
RR
Pennsylvania(9/3/2013)
RR
South Carolina(9/3/2013)
RR
Virginia(9/3/2013)
RR
Wisconsin(9/3/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 12/21/1979
Registered Representative ExaminationPrincipal/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.
