DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)38 years in industry

THOMAS MICHAEL GALE

Advisor at CETERA INVESTMENT ADVISERS LLC

GLEN MILLS, PA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:39e123f2-d38e-61ad-6cda-2ef1682467bb

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 1, 2009 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CETERA INVESTMENT ADVISERS LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 19, 1988earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63
First exam: Jul 19, 1988
First registration: May 1, 2009
Dual registered: yes, broker-dealer
IAPD individual key: 1858322

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Oct 19, 2015	n/a	yes	GLEN MILLS, PA	Current employment
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC	Former SEC adviser	May 27, 2014	Nov 13, 2015	no	GLENOLDEN, PA	Previous registration
REALTA INVESTMENT ADVISORS, INC	Bd affiliated wealth	Aug 31, 2012	May 30, 2014	no	WILMINGTON, DE	Previous registration
CETERA ADVISOR NETWORKS LLC	Former SEC adviser	May 1, 2009	May 14, 2012	no	KING OF PRUSSIA, PA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC	CETERA INVESTMENT ADVISERS LLC	Nov 13, 2015	Oct 19, 2015	-25	Bulk transfer	Other
REALTA INVESTMENT ADVISORS, INC	J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC	May 30, 2014	May 27, 2014	-3	Firm change	Other
CETERA ADVISOR NETWORKS LLC	REALTA INVESTMENT ADVISORS, INC	May 14, 2012	Aug 31, 2012	109	Firm change	Other

Relationships

Registered with (4)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Oct 19, 2015 to presentfactForm ADV
→ J P TURNER & COMPANY CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
May 27, 2014 to Nov 13, 2015factForm ADV
→ REALTA INVESTMENT ADVISORS, INCRegistered adviserregistration: previous registration
Aug 31, 2012 to May 30, 2014factForm ADV
→ CETERA ADVISOR NETWORKS LLCRegistered adviserregistration: previous registration
May 1, 2009 to May 14, 2012factForm ADV

Dated events

No dated event names this entity yet.