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THOMAS CHARLES POWERS
TOM POWERS, Thomas Charles Powers, Thomas Powers, thomas c Powers
CRD#: 2361069
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 5299 DTC BLVD
SUITE 800
GREENWOOD VILLAGE, CO 80111
CETERA INVESTMENT SERVICES LLCCRD#: 15340 5299 DTC BLVD
SUITE 800
GREENWOOD VILLAGE, CO 80111
Registration History
19952000200520102015202020252 FIRMS2001 - 2004 (2 years)4 FIRMS2004 - 2004 (<1 year)2 FIRMS2005 - 2005 (<1 year)2 FIRMS2005 - 2012 (6 years)3 FIRMS2013 - 2013 (<1 year)2 FIRMS2015 - 2015 (<1 year)2 FIRMS2015 - 2016 (1 year)2 FIRMS2017 - 2017 (<1 year)2 FIRMS2018 - 2019 (<1 year)2 FIRMS2019 - 2021 (1 year)2 FIRMS2021 - 2022 (<1 year)2 FIRMS2022 - 2023 (<1 year)2 FIRMS2023 - Present (1 year)BPRUCO SECURITIES CORPORATION (CRD# 5685)1993 - 2001 (7 years)IASTRATEGIC ADVISERS LLC (CRD# 104555)2018 - 2018 (<1 year)
Disclosure(s)
View By:
1/7/2004
Employment Separation After Allegations
License(s)

State Registrations

B
Alabama 10/26/2023

B
Missouri 10/24/2023

B
Alaska 10/30/2023

B
Montana 10/26/2023

B
Arizona 10/31/2023

B
Nebraska 10/25/2023

B
Arkansas 10/26/2023

B
Nevada 11/6/2023

B
California 10/24/2023

B
New Hampshire 11/2/2023

B
Colorado 10/26/2023

B
New Jersey 10/27/2023

IA
Colorado 10/26/2023

B
New Mexico 10/27/2023

B
Connecticut 10/24/2023

B
North Carolina 10/25/2023

B
Delaware 11/1/2023

B
North Dakota 10/30/2023

B
District of Columbia 10/31/2023

B
Ohio 10/25/2023

B
Florida 10/25/2023

B
Oklahoma 10/30/2023

B
Georgia 10/26/2023

B
Oregon 10/25/2023

B
Hawaii 12/22/2023

B
Pennsylvania 10/25/2023

B
Idaho 10/24/2023

B
Rhode Island 10/25/2023

B
Illinois 10/26/2023

B
South Carolina 10/31/2023

B
Indiana 11/22/2023

B
South Dakota 10/31/2023

B
Iowa 10/27/2023

B
Tennessee 10/30/2023

B
Kansas 10/26/2023

IA
Texas 10/24/2023

B
Kentucky 10/27/2023

B
Texas 10/25/2023

B
Louisiana 10/27/2023

B
Utah 10/24/2023

B
Maine 10/26/2023

B
Vermont 10/27/2023

B
Maryland 11/2/2023

B
Virginia 10/26/2023

B
Massachusetts 10/25/2023

B
Washington 10/26/2023

B
Michigan 10/26/2023

B
West Virginia 10/26/2023

B
Minnesota 10/31/2023

B
Wisconsin 10/24/2023

B
Mississippi 10/27/2023

B
Wyoming 11/6/2023

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)
5299 DTC BLVD SUITE 800, GREENWOOD VILLAGE, CO 80111
Registered with this firm since 10/24/2023

B
CETERA INVESTMENT SERVICES LLC (CRD#:15340)
5299 DTC BLVD SUITE 800, GREENWOOD VILLAGE, CO 80111
Registered with this firm since 10/24/2023

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
10/06/2022 - 07/12/2023 NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC (CRD#:2881) VERNON HILLS, IL
B
10/04/2022 - 07/12/2023 NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881) VERNON HILLS, IL
IA
10/22/2021 - 08/26/2022 TRIAD ADVISORS, LLC (CRD#:25803) ATLANTA, GA
B
10/21/2021 - 08/26/2022 TRIAD ADVISORS LLC (CRD#:25803) ATLANTA, GA
IA
08/14/2019 - 01/21/2021 B RILEY WEALTH MANAGEMENT (CRD#:2543) CHICAGO, IL
B
08/05/2019 - 01/21/2021 B. RILEY WEALTH MANAGEMENT (CRD#:2543) CHICAGO, IL
IA
07/13/2018 - 05/03/2019 FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590) BOSTON, MA
B
06/06/2018 - 05/03/2019 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) SUNNYVALE, CA
IA
06/12/2018 - 07/13/2018 STRATEGIC ADVISERS LLC (CRD#:104555) WALNUT CREEK, CA
IA
03/03/2017 - 12/11/2017 LPL FINANCIAL LLC (CRD#:6413) VACAVILLE, CA
B
03/03/2017 - 12/11/2017 LPL FINANCIAL LLC (CRD#:6413) VACAVILLE, CA
IA
06/10/2015 - 09/14/2016 COMERICA SECURITIES (CRD#:17079) DALLAS, TX
B
06/09/2015 - 09/14/2016 COMERICA SECURITIES (CRD#:17079) DALLAS, TX
IA
04/06/2015 - 06/08/2015 INVEST FINANCIAL CORPORATION (CRD#:12984) WEST DES MOINES, IA
B
03/25/2015 - 06/08/2015 INVEST FINANCIAL CORPORATION (CRD#:12984) WEST DES MOINES, IA
B
06/11/2013 - 10/01/2013 MUTUAL OF OMAHA INVESTOR SERVICES, INC. (CRD#:611) OMAHA, NE
IA
02/11/2013 - 03/22/2013 AMERITAS INVESTMENT CORP (CRD#:14869) W DES MOINES, IA
B
01/23/2013 - 03/22/2013 AMERITAS INVESTMENT CORP. (CRD#:14869) LINCOLN, NE
IA
07/20/2005 - 06/04/2012 WADDELL & REED, INC. (CRD#:866) OVERLAND PARK, KS
B
07/15/2005 - 06/04/2012 WADDELL & REED, INC. (CRD#:866) OVERLAND PARK, KS
IA
02/23/2005 - 07/01/2005 COMPASS CAPITAL ASSET MANAGEMENT (CRD#:13787) GREENWOOD VILLAGE, CO
B
02/22/2005 - 07/01/2005 UVEST FINANCIAL SERVICES GROUP, INC. (CRD#:13787) CHARLOTTE, NC
IA
06/24/2004 - 12/16/2004 AMERITAS INVESTMENT CORP (CRD#:14869) GREENWOOD VLG, CO
B
05/05/2004 - 12/16/2004 AMERITAS INVESTMENT CORP. (CRD#:14869) LINCOLN, NE
IA
03/29/2004 - 04/27/2004 AFS BROKERAGE, INC. (CRD#:25924) CHICAGO, IL
B
03/26/2004 - 04/27/2004 AFS BROKERAGE, INC. (CRD#:25924) AUSTIN, TX
IA
05/14/2001 - 02/03/2004 NEW ENGLAND SECURITIES CORPORATION (CRD#:615) NORTHBROOK, IL
B
04/19/2001 - 02/03/2004 NEW ENGLAND SECURITIES (CRD#:615) NEW YORK, NY
B
06/14/1993 - 03/13/2001 PRUCO SECURITIES CORPORATION (CRD#:5685) NEWARK, NJ
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B
Broker
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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.