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Detailed Report
Melissa Ann Mayer
MELISSA ANN THOMAS
CRD#: 3110431
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 400 1ST ST S STE 300
ST CLOUD, MN 56301
CETERA ADVISORS LLCCRD#: 10299 400 1ST ST S STE 300
ST CLOUD, MN 56301
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2013 - 2015 (2 years)3 FIRMS2019 - Present (5 years)IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2017 - Present (7 years)BCETERA INVESTMENT SERVICES LLC (CRD# 15340)2002 - Present (22 years)BFIRST ALLIED SECURITIES, INC. (CRD# 32444)2019 - 2022 (3 years)BCETERA ADVISOR NETWORKS LLC (CRD# 13572)2012 - 2015 (3 years)BGUARANTY BROKERAGE SERVICES, INC. (CRD# 23302)2002 - 2010 (8 years)BBANCNORTH INVESTMENT GROUP, INC. (CRD# 31299)2007 - 2009 (2 years)BBANCWEST INVESTMENT SERVICES, INC. (CRD# 29357)2002 - 2003 (1 year)BPRUCO SECURITIES CORPORATION (CRD# 5685)1999 - 2002 (2 years)BPRUCO SECURITIES CORPORATION (CRD# 5685)1999 - 1999 (<1 year)
Disclosure(s)
View By:
4/20/2010
Judgment / Lien
License(s)

State Registrations

B
Minnesota 6/9/2017
IA
Minnesota 6/9/2017

SRO Registrations

B
 FINRA

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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)
B
CETERA ADVISORS LLC (CRD#:10299)
400 1ST ST S STE 300, ST CLOUD, MN 56301
PIERZ, MN
Registered with this firm since 9/30/2019
B
CETERA FINANCIAL SPECIALISTS LLC (CRD#:10358)
400 1ST ST S STE 300, ST CLOUD, MN 56301
PIERZ, MN
Registered with this firm since 9/30/2019
B
CETERA ADVISOR NETWORKS LLC (CRD#:13572)
400 1ST ST S STE 300, ST CLOUD, MN 56301
PIERZ, MN
Registered with this firm since 9/30/2019
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
400 1ST ST S STE 300, ST CLOUD, MN 56301
PIERZ, MN
Registered with this firm since 6/9/2017
B
CETERA INVESTMENT SERVICES LLC (CRD#:15340)
400 1ST ST S STE 300, ST CLOUD, MN 56301
PIERZ, MN
Registered with this firm since 7/26/2002
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 09/30/2019 - 09/08/2022 FIRST ALLIED SECURITIES, INC. (CRD#:32444) ST CLOUD, MN
B
 01/14/2013 - 11/23/2015 CETERA ADVISORS LLC (CRD#:10299) SAINT CLOUD, MN
B
 01/14/2013 - 11/23/2015 CETERA FINANCIAL SPECIALISTS LLC (CRD#:10358) SAINT CLOUD, MN
B
 11/12/2012 - 11/23/2015 CETERA ADVISOR NETWORKS LLC (CRD#:13572) SAINT CLOUD, MN
B
 07/26/2002 - 12/31/2010 GUARANTY BROKERAGE SERVICES, INC. (CRD#:23302) ST. CLOUD, MN
B
 07/05/2007 - 11/17/2009 BANCNORTH INVESTMENT GROUP, INC. (CRD#:31299) ST. CLOUD, MN
B
 07/26/2002 - 11/14/2003 BANCWEST INVESTMENT SERVICES, INC. (CRD#:29357) OMAHA, NE
B
 12/22/1999 - 07/02/2002 PRUCO SECURITIES CORPORATION (CRD#:5685) NEWARK, NJ
B
 10/23/1999 - 11/12/1999 PRUCO SECURITIES CORPORATION (CRD#:5685) NEWARK, NJ
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.