TM
Thomas F. Mengel
CETERA INVESTMENT ADVISERS LLC
POPLAR BLUFF, MO 63901
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CRD#: 706823
TM
Professional summary
Thomas Foster Mengel, AIF® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Poplar Bluff, Missouri and CETERA FINANCIAL SPECIALISTS LLC located in Poplar Bluff, Missouri.
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 4 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)MSMF WEALTH MANAGEMENT, DBA NAME FOR INVESTMENT PRACTICE THROUGH CETERA; INV. RELATED; SAME AS REGISTERED LOCATION; PERSONAL BRAND FOR WEALTH MANAGMENT BUSINESS; PARTNER; SINCE 01/2019; 120 HRS/MONTH DURING SECURITIES TRADING HOURS: 2) SONUS BY MSMF; NON-INV. RELATED; ST. LOUIS, MO; EMPLOYEE BENEFIT SALES; PARTNER; SINCE 1990; 120 HRS/MONTH DURING SECURITIES TRADING HOURS: 3) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 4/2018 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 POSITION/TITLE/RELATIONSHIP: AGENT BRIEF DESCRIPTION OF DUTIES: SELLING LIFE, DISABILITY, ANNUITIES, AND LONG TERM CARE 4) NAME OF OTHER BUSINESS: LIFE BRIDGE INSURANCE SOLUTIONS; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION START DATE: 11/2017; NATURE OF BUSINESS: INSURANCE BROKERAGE AGENCY APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 POSITION/TITLE/RELATIONSHIP: PARTNER BRIEF DESCRIPTION OF DUTIES: ASSITANCE WITH CARRIER SELECTION, PRODUCT DESIGNS, UNDERWRITTEN ADVOCACY AND ADVICE 5) NAME OF OTHER BUSINESS: MESSIAH LUTHERAN CHURCH & SCHOOL ; INVESTMENT RELATED: NO ; ADDRESS: 5911 MO-94 ST. CHARLES, MO 63304 ; NATURE OF BUSINESS: BOARD; START DATE: 08/2021 ; POSITION/TITLE/RELATIONSHIP: LAY MINISTRY WORKER ; APX NUMBER OF HOURS PER WEEK: 4 ; APX NUMBER OF HOURS DURING TRADING HOURS: 0 ; BRIEF DESCRIPTION OF DUTIES: DEVELOP, MONITOR AND ENFORCE POLICY OF THE CHURCH ; 6) NAME OF OTHER BUSINESS: CT MANAGEMENT, LLC, INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: EXPENSE MANAGEMENT, START DATE: 11/2024, POSITION/TITLE/RELATIONSHIP: MEMBER, LESS THAN ONE HOUR PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: LLC ESTABLISHED FOR PAYROLL ONLY FOR MSMF WEALTH MANAGEMENT EMPLOYEES; 7) NAME OF OTHER BUSINESS: CT GENERAL PARTNER, INC, INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: EXPENSE MANAGEMENT, START DATE: 11/2024, POSITION/TITLE/RELATIONSHIP: MEMBER, LESS THAN ONE HOUR PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: S CORP FOR OWNER PAYROLL AND 401(K);
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Foster Mengel'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®
Experience
Current
November 19, 1997 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 2785 Tucker Road, Poplar Bluff, MO 63901Office #2: 3660 S. Geyer Road Suite 200, St. Louis, MO 63127RIA
CRD#: 105644
POPLAR BLUFF, MO
Current
March 1, 1996 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 2785 Tucker Road, Poplar Bluff, MO 63901Office #2: 3660 S. Geyer Road Suite 200, St. Louis, MO 63127BD
CRD#: 10358
POPLAR BLUFF, MO
Past
March 15, 1993 - March 1, 1996
WS GRIFFITH SECURITIES, INC.
BD
CRD#: 10410
HARTFORD, CT
Past
April 9, 1980 - March 15, 1993
VP DISTRIBUTORS LLC
BD
CRD#: 3036
HARTFORD, CT
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
Arizona(8/9/2010)
RR
Arkansas(1/3/2003)
RR
California(3/4/1996)
RR
Colorado(3/1/1996)
RR
Florida(3/1/1996)
RR
Georgia(5/9/2024)
RR
Illinois(3/1/1996)
RR
Indiana(11/12/2008)
RR
Kansas(2/14/1997)
RR
Maryland(5/11/2021)
RR
Massachusetts(10/24/2025)
RR
Michigan(7/18/2018)
RR
Mississippi(9/9/2024)
RR
Missouri(3/1/1996)
IAR
Missouri(11/19/1997)
RR
Nebraska(8/23/2006)
RR
New York(5/2/2019)
RR
North Carolina(1/22/2013)
RR
Ohio(10/10/2006)
RR
Oregon(1/26/2021)
RR
Pennsylvania(4/6/2016)
RR
South Carolina(7/26/2017)
RR
South Dakota(6/23/2014)
RR
Tennessee(6/4/2018)
RR
Texas(6/20/2012)
IAR
Texas(11/28/2016)
RR
Virginia(2/7/2017)
RR
Washington(6/3/2021)
RR
Wisconsin(10/20/1999)
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: 3/27/1980
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
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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#: 105644Poplar Bluff, MO 63901TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
