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Detailed Report
THOMAS DAVID FISHER
TOM FISHER
CRD#: 1528669
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 1 CABOT RD
#225
HUDSON, MA 01749
CETERA WEALTH SERVICES, LLCCRD#: 13572 1 CABOT RD
#225
HUDSON, MA 01749
Registration History
199019952000200520102015202020252 FIRMS2007 - 2017 (10 years)2 FIRMS2017 - 2023 (5 years)2 FIRMS2023 - Present (2 years)BLEGACY FINANCIAL SERVICES, INC. (CRD# 38697)1997 - 2007 (10 years)BINVESTORS CAPITAL CORP. (CRD# 30613)1995 - 1996 (1 year)BMULTI-FINANCIAL SECURITIES COR... (CRD# 10299)1993 - 1993 (<1 year)BAMERICAN EXPRESS FINANCIAL ADV... (CRD# 6363)1986 - 1993 (6 years)IACETERA ADVISOR NETWORKS LLC (CRD# 13572)2023 - 2023 (<1 year)IALEGACY ADVISORY SERVICES, INC. (CRD# 111027)1999 - 2007 (8 years)
Disclosure(s)
View By:
10/17/2016
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 2/1/2023
B
New Hampshire 2/1/2023
B
California 2/21/2024
B
New Jersey 2/1/2023
B
Florida 2/1/2023
B
New York 2/24/2023
B
Maine 2/1/2023
B
Pennsylvania 2/1/2023
B
Maryland 2/1/2023
B
Rhode Island 3/30/2023
B
Massachusetts 2/1/2023
B
South Carolina 5/11/2023
IA
Massachusetts 6/29/2023

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
1 CABOT RD #225, HUDSON, MA 01749
PLYMOUTH, MA
Registered with this firm since 6/29/2023
B
CETERA WEALTH SERVICES, LLC (CRD#:13572)
1 CABOT RD #225, HUDSON, MA 01749
PLYMOUTH, MA
Registered with this firm since 2/1/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 02/07/2023 - 06/29/2023 CETERA ADVISOR NETWORKS LLC (CRD#:13572) Hudson, MA
IA
 11/28/2017 - 02/03/2023 SAGEPOINT FINANCIAL, INC. (CRD#:133763) HUDSON, MA
B
 11/28/2017 - 02/03/2023 SAGEPOINT FINANCIAL, INC. (CRD#:133763) HUDSON, MA
IA
 07/02/2007 - 11/28/2017 SII INVESTMENTS, INC. (CRD#:2225) WESTBOROUGH, MA
B
 06/29/2007 - 11/28/2017 SII INVESTMENTS, INC. (CRD#:2225) WESTBOROUGH, MA
IA
 07/16/1999 - 07/02/2007 LEGACY ADVISORY SERVICES, INC. (CRD#:111027) MILFORD, MA
B
 01/03/1997 - 07/02/2007 LEGACY FINANCIAL SERVICES, INC. (CRD#:38697) PEABODY, MA
B
 12/20/1995 - 12/31/1996 INVESTORS CAPITAL CORP. (CRD#:30613) LYNNFIELD, MA
B
 04/26/1993 - 12/31/1993 MULTI-FINANCIAL SECURITIES CORPORATION (CRD#:10299) GREENWOOD VILLAGE, CO
B
 07/23/1986 - 04/07/1993 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.