Unclaimed Profile

Thomas William Halloran

CETERA ADVISORS LLC·GREENWOOD VILLAGE, Illinois

SIE, Series 6, Series 7, Series 24, Series 26, Series 51, Series 63, Series 65, Series 99TOClean record18 years registeredCETERA ADVISORS LLC

5299 DTC BLVD, GREENWOOD VILLAGE, IL 80111CRD# 1921834Firm CRD# 10299

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Thomas William Halloran · GREENWOOD VILLAGE, IL

Registration

CRD #1921834 · CETERA ADVISORS LLC · 18 years registered

Brand Profile

Not yet started

Career History

CETERA ADVISORS LLC

Jan 2024 – present

CETERA INVESTMENT ADVISERS LLC

Jun 2023 – present

CETERA WEALTH SERVICES, LLC

Jun 2021 – present

CETERA ADVISOR NETWORKS LLC

Jun 2021 – Jun 2023

EL SEGUNDO, CA

VOYA FINANCIAL ADVISORS, INC.

Nov 2013 – Jun 2021

WINDSOR, CT

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Dec 2010 – Nov 2013

BOSTON, MA

PUTNAM INVESTMENT MANAGEMENT, LLC

May 2008 – Nov 2009

BOSTON, MA

Registrations & Exams

FINRA examinations passed

SIE

Series 6

Series 7

Series 24

Series 26

Series 51

Series 63

Series 65

Series 99TO

Registration record

First registered · May 27, 2008

Years registered · 18

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

Firm Overview

Firm

CETERA ADVISORS LLC

CRD 10299 · SEC 801-33020

AUM

$22.0B

Regulatory assets under management

Employees

1,138

81,652 client accounts

Services offered by CETERA ADVISORS LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at CETERA ADVISORS LLC →

Introduction

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Frequently Asked Questions

What services does Thomas William Halloran offer?

Thomas William Halloran specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in GREENWOOD VILLAGE, Illinois for a consultation.

What are Thomas William Halloran's credentials?

Thomas William Halloran is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Thomas William Halloran located?

Thomas William Halloran is based in GREENWOOD VILLAGE, Illinois, working with CETERA ADVISORS LLC. Their office serves clients in the GREENWOOD VILLAGE metropolitan area and surrounding communities.

How does Thomas William Halloran charge for services?

Thomas William Halloran's firm is compensated through percentage of aum, hourly charges, subscription fees, commissions. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is CETERA ADVISORS LLC?

CETERA ADVISORS LLC has approximately 1138 employees and manages $22.0B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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