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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

Sylvester Thomas

Advisor at CETERA INVESTMENT ADVISERS LLC

EDINA, MN

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Search this name across graphsid dfx:ria:4b406282-e1ea-8e0c-a49c-023524d0d015

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jul 13, 2001 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: May 8, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: May 8, 2001
First registration: Jul 13, 2001
Dual registered: yes, broker-dealer
Other names: Sylvester Thomas|SYLVESTER (JR) THOMAS|Sylvester Thomas|Sylvester Thomas|SYLVESTER THOMAS
IAPD individual key: 1104199

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	Jun 20, 2019	n/a	yes	EDINA, MN	Current employment
FORESTERS ADVISORY SERVICES, LLC	Former SEC adviser	Jun 29, 2018	Jun 25, 2019	no	Edina, MN	Previous registration
SECURIAN FINANCIAL SERVICES, INC.	Former SEC adviser	Jan 12, 2015	May 25, 2018	no	Longmeadow, MA\|WARWICK, RI	Previous registration
EAGLE STRATEGIES LLC	Bd affiliated wealth	Jul 24, 2013	Dec 16, 2014	no	JACKSONVILLE, FL	Previous registration
PRUCO SECURITIES, LLC	No RAUM reported	Jul 13, 2001	Feb 3, 2012	no	JACKSONVILLE, FL\|JACKSONVILLE, FL\|MIDDLEBURY, CT	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
FORESTERS ADVISORY SERVICES, LLC	CETERA INVESTMENT ADVISERS LLC	Jun 25, 2019	Jun 20, 2019	-5	Bulk transfer	Ibd to ibd
SECURIAN FINANCIAL SERVICES, INC.	FORESTERS ADVISORY SERVICES, LLC	May 25, 2018	Jun 29, 2018	35	Firm change	Ibd to ibd
EAGLE STRATEGIES LLC	SECURIAN FINANCIAL SERVICES, INC.	Dec 16, 2014	Jan 12, 2015	27	Firm change	Other
PRUCO SECURITIES, LLC	EAGLE STRATEGIES LLC	Feb 3, 2012	Jul 24, 2013	537	Firm change after gap	Other

Relationships

Registered with (5)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Jun 20, 2019 to presentfactForm ADV
→ FORESTERS ADVISORY SERVICES, LLCRegistered adviserregistration: previous registration
Jun 29, 2018 to Jun 25, 2019factForm ADV
→ SECURIAN FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jan 12, 2015 to May 25, 2018factForm ADV
→ EAGLE STRATEGIES LLCRegistered adviserregistration: previous registration
Jul 24, 2013 to Dec 16, 2014factForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Jul 13, 2001 to Feb 3, 2012factForm ADV

Dated events

No dated event names this entity yet.