TE
Thomas J. Ealy
CETERA INVESTMENT ADVISERS LLC
MAHOMET, IL 61853
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CRD#: 863042
TE
Professional summary
Thomas James Ealy is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Mahomet, Illinois and CETERA WEALTH SERVICES, LLC located in Mahomet, Illinois.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Thomas has worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7 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. Name of other business: Fixed insurance with various companies Investment related: Yes Address: Same as Registered Location Nature of business: Fixed Insurance Start Date: 01/2019 Apx number of hours per week: varies Apx number of hours during trading hours: varies Position/title/relationship: Insurance Agent Brief description of duties: Sells Life, Health, Annuities and Long Term Care 2. Name of other business: Carleton Financial Inc. Investment related: Yes Address: Same as Registered Location Nature of business: financial services Start date: 06/2009 Position/title/relationship: owner Apx number of hours per week: 20 Apx number of hours during trading hours: 20 Brief description of duties: owner and registered representative 3. Name of other business: Central Illinois Group DBA Lifewise Wealth Advisors, Investment related: Yes Address: Same as Registered Location Nature of business: financial services Start date: 01/2019 Position/title/relationship: registered representative Apx number of hours per week: 40 Apx number of hours during trading hours: 40 Brief description of duties: registered representative
CRS (Client Relationship Summary) - RIA
Click below to view Thomas James Ealy'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 17, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 2707 Cr 350 East, Mahomet, IL 61853RIA
CRD#: 105644
MAHOMET, IL
Current
April 9, 2019 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
MAHOMET, IL
Past
August 15, 2019 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
CHAMPAIGN, IL
Past
January 31, 2019 - February 12, 2019
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
CHAMPAIGN, IL
Past
January 31, 2019 - February 12, 2019
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
CHAMPAIGN, IL
Past
January 13, 1998 - February 20, 2019
IPI WEALTH MANAGEMENT, INC.
RIA
CRD#: 111872
CHAMPAIGN, IL
Past
October 5, 1995 - January 31, 2019
INVESTMENT PLANNERS, INC.
BD
CRD#: 18557
CHAMPAIGN, IL
Past
December 7, 1990 - September 28, 1995
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ATLANTA, GA
Past
December 22, 1981 - December 7, 1990
COZAD INVESTMENT SERVICES, INC.
BD
CRD#: 10065
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(8/19/2019)
RR
Arizona(9/27/2019)
RR
California(8/19/2019)
RR
Colorado(12/3/2019)
RR
Connecticut(8/19/2019)
RR
Florida(12/3/2019)
RR
Georgia(8/20/2019)
RR
Illinois(8/15/2019)
IAR
Illinois(3/17/2023)
RR
Indiana(10/8/2019)
RR
Kansas(8/27/2019)
RR
Maryland(8/22/2019)
RR
Minnesota(8/19/2019)
RR
Montana(10/9/2019)
RR
Nebraska(9/24/2019)
RR
New Hampshire(10/23/2019)
RR
New Jersey(2/27/2020)
RR
New Mexico(8/19/2019)
RR
New York(10/16/2019)
RR
North Carolina(12/20/2019)
RR
Ohio(8/19/2019)
RR
Pennsylvania(9/12/2019)
RR
Rhode Island(8/22/2019)
RR
South Carolina(3/2/2020)
RR
Tennessee(9/27/2019)
RR
Texas(9/3/2019)
IAR
Texas(3/20/2023)
RR
Virginia(9/5/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/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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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Mahomet, IL 61853TRUST BUT VERIFY
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