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THOMAS RICHARD BROWN
CRD#: 1033452
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 RIVER FALLS, WI
CETERA ADVISOR NETWORKS LLCCRD#: 13572 River Falls, WI
Registration History
1985199019952000200520102015202020252 FIRMS2023 - Present (1 year)BSECURIAN FINANCIAL SERVICES, INC. (CRD# 15296)1991 - 2023 (32 years)BCRI SECURITIES, LLC (CRD# 22589)1988 - 2021 (33 years)BCONSOLIDATED RESOURCES, INC. (CRD# 13747)1983 - 1988 (5 years)BFDI SECURITIES, INC. (CRD# 4182)1982 - 1983 (1 year)IASECURIAN FINANCIAL SERVICES, INC. (CRD# 15296)2013 - 2023 (9 years)IACRI SECURITIES, LLC (CRD# 22589)2008 - 2021 (13 years)IAMARATHON ADVISORS, INC (CRD# 113696)2008 - 2008 (<1 year)IAMARATHON ADVISORS, INC (CRD# 113696)2001 - 2007 (6 years)
License(s)

State Registrations

B
Arizona 8/10/2023

B
New York 8/10/2023

B
California 8/10/2023

B
North Dakota 8/10/2023

B
Colorado 8/10/2023

B
Ohio 1/17/2024

B
Florida 8/11/2023

B
Oregon 8/10/2023

B
Georgia 8/10/2023

B
Pennsylvania 8/10/2023

B
Illinois 8/10/2023

B
Tennessee 8/10/2023

B
Iowa 8/10/2023

B
Texas 8/10/2023

B
Kansas 8/10/2023

IA
Texas 8/10/2023

B
Maryland 8/10/2023

B
Virginia 8/10/2023

B
Minnesota 8/10/2023

B
Washington 8/10/2023

B
Missouri 8/10/2023

B
Wisconsin 8/10/2023

B
Nebraska 8/10/2023

IA
Wisconsin 8/10/2023

B
Nevada 8/10/2023

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
RIVER FALLS, WI
Registered with this firm since 8/10/2023

B
CETERA ADVISOR NETWORKS LLC (CRD#:13572)
River Falls, WI
Registered with this firm since 8/10/2023

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
12/20/2013 - 08/10/2023 SECURIAN FINANCIAL SERVICES, INC. (CRD#:15296) River Falls, WI
B
06/05/1991 - 08/10/2023 SECURIAN FINANCIAL SERVICES, INC. (CRD#:15296) River Falls, WI
IA
10/21/2008 - 10/18/2021 CRI SECURITIES, LLC (CRD#:22589) River Falls, WI
B
09/21/1988 - 10/18/2021 CRI SECURITIES, LLC (CRD#:22589) River Falls, WI
IA
01/03/2008 - 09/10/2008 MARATHON ADVISORS, INC (CRD#:113696) MINNEAPOLIS, MN
IA
08/07/2001 - 12/31/2007 MARATHON ADVISORS, INC (CRD#:113696) BURNSVILLE, MN
B
09/09/1983 - 09/21/1988 CONSOLIDATED RESOURCES, INC. (CRD#:13747)
B
03/02/1982 - 09/14/1983 FDI SECURITIES, INC. (CRD#:4182)
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.