NT
Nathan P. Thomas
CETERA INVESTMENT ADVISERS LLC
KENT, OH 44240
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CRD#: 7400749
NT
Professional summary
Nathan Philip Thomas is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Kent, Ohio and CETERA ADVISORS LLC located in Kent, Ohio.
Nathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Nathan has worked at 2 firms and has passed the Series 66, Series 7TO and SIE 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) NAME OF OTHER BUSINESS: MARATHON FINANCIAL SERVICES INC. INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 06/2021, POSITION/TITLE/RELATIONSHIP: PARAPLANNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: SERVICING CLIENT ACCOUNTS AND CUSTOMER SERVICE.; (2) NAME OF OTHER BUSINESS: ACHIEVE ADOPTION INVESTMENT RELATED: NO, ADDRESS:1405 S FERN ST #92680, ARLINGTON, VA 22202, NATURE OF BUSINESS: NON-PROFIT, START DATE: 08/2020, POSITION/TITLE/RELATIONSHIP: BOARD OF DIRECTORS, APX NUMBER OF HOURS PER WEEK: 1, NOT DURING TRADING HOURS BRIEF DESCRIPTION OF DUTIES: BOARD TREASURER, NO CHECK SIGNING; (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: 09/2022; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, DISABILITY, FIXED ANNUITIES AND LONG TERM CARE; (4) NAME OF OTHER BUSINESS: NATHAN & KATY THOMAS BOOK LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: BOOK - AUTHOR; START DATE: 05/2024; POSITION/TITLE/RELATIONSHIP: OWNER/CO AUTHOR; APX NUMBER OF HOURS PER WEEK: 3; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: AUTHOR OF A BOOK; (5) NAME OF OTHER BUSINESS: CCO - KENT STATE COMMUNITY BOARD; INVESTMENT RELATED: NO; ADDRESS: 5912 PENN AVE PITTSBURG, PA 15206; NATURE OF BUSINESS: NON PROFIT; START DATE: 02/2025; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: SUPPORT MINISTRY WORK, VOLUNTEER AND ATTEND EVENTS, FUND RAISE AND VOTE ON FUNDS USAGE;
CRS (Client Relationship Summary) - RIA
Click below to view Nathan Philip 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®
NoneExperience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 234 South Water St Suite 201, Kent, OH 44240RIA
CRD#: 105644
KENT, OH
Current
September 20, 2021 - Present
CETERA ADVISORS LLC
Office #1: 234 South Water St Suite 201, Kent, OH 44240BD
CRD#: 10299
Kent, OH
Past
January 4, 2022 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
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
Alaska(2/4/2025)
RR
California(4/3/2024)
RR
Colorado(5/22/2025)
RR
Florida(4/5/2024)
RR
Indiana(12/10/2024)
RR
Iowa(9/2/2025)
RR
Kentucky(9/23/2025)
RR
Maine(3/28/2025)
RR
Michigan(10/31/2025)
RR
North Carolina(8/27/2024)
RR
Ohio(1/4/2022)
IAR
Ohio(3/21/2024)
RR
Pennsylvania(4/29/2024)
RR
Texas(3/19/2024)
IAR
Texas(3/21/2024)
RR
Utah(3/19/2024)
RR
Virginia(7/21/2023)
RR
Washington(2/28/2025)
RR
West Virginia(8/20/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/20/2021
General Securities Representative ExaminationGeneral 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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Kent, OH 44240TRUST BUT VERIFY
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