Individual Firm
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
THOMAS MICHAEL GALBRAITH
CRD#: 2674124
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 HENDERSON, NV
CETERA ADVISOR NETWORKS LLCCRD#: 13572 HENDERSON, NV
View By:
3/10/2003
Customer Dispute
Denied
10/15/2002
Customer Dispute
Denied
State Registrations
B
Arizona 9/20/2019
B
Nevada 9/20/2019
B
California 9/20/2019
IA
Nevada 6/29/2023
B
Colorado 9/20/2019
B
New Jersey 1/13/2021
B
Florida 10/24/2024
B
New York 3/3/2020
B
Idaho 3/31/2020
B
North Carolina 9/20/2019
B
Illinois 9/22/2022
B
Ohio 9/20/2019
B
Missouri 9/20/2019
B
Utah 9/20/2019
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 6/29/2023
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/20/2021 - 06/29/2023 | EL SEGUNDO, CA | |
IA | 05/17/2004 - 05/20/2021 | HENDERSON, NV | |
B | 05/17/2004 - 09/20/2019 | HENDERSON, NV | |
IA | 12/05/2002 - 06/04/2004 | LAS VEGAS, NV | |
B | 11/29/2002 - 06/04/2004 | WEEHAWKEN, NJ | |
IA | 05/03/2002 - 12/12/2002 | LAS VEGAS, NV | |
B | 11/28/1995 - 12/12/2002 | NEW YORK, NY |
For additional information about investment advisers or broker-dealers, please visit
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.