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RIA / WealthAdvisordual registered (broker-dealer)13 years in industry

Andrew James Thomas

Advisor at CETERA PLANNING PARTNERS

Overland Park, KS | LEAWOOD, KS

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:9740ccd3-4b5c-a0b3-8b06-c0f826c52134

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:11 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Mar 7, 2013 to Sep 15, 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 PLANNING PARTNERS
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 6, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Mar 6, 2013
First registration: Mar 7, 2013
Dual registered: yes, broker-dealer
Other names: ANDREW JAMES THOMAS|Andrew J Thomas
IAPD individual key: 6085069

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 PLANNING PARTNERS	Independent wealth	May 21, 2024	n/a	yes	Overland Park, KS\|LEAWOOD, KS	Current employment
MORGAN STANLEY	Wirehouse	Jan 20, 2023	May 28, 2024	no	PURCHASE, NY\|Overland Park, KS\|Overland park, KS	Previous registration
BLOOOM, INC.	Former SEC adviser	Oct 3, 2015	Nov 16, 2022	no	OVERLAND PARK, KS\|Leawood, KS	Previous registration
CREATIVE PLANNING	Independent wealth	Jun 29, 2015	Sep 28, 2015	no	OVERLAND PARK, KS	Previous registration
SMART401K, LLC	Former SEC adviser	Mar 7, 2013	Jul 9, 2015	no	OVERLAND PARK, KS	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
MORGAN STANLEY	CETERA PLANNING PARTNERS	May 28, 2024	May 21, 2024	-7	Firm change	Wirehouse to RIA
BLOOOM, INC.	MORGAN STANLEY	Nov 16, 2022	Jan 20, 2023	65	Firm change	RIA to wirehouse
CREATIVE PLANNING	BLOOOM, INC.	Sep 28, 2015	Oct 3, 2015	5	Firm change	Other
SMART401K, LLC	CREATIVE PLANNING	Jul 9, 2015	Jun 29, 2015	-10	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
168604:149777:KS:2022-11-16	Nov 16, 2022	Jan 20, 2023	LEAWOOD, KS	Firm change

Relationships

Registered with (5)

→ CETERA PLANNING PARTNERSRegistered adviserregistration: current employment
May 21, 2024 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jan 20, 2023 to May 28, 2024factForm ADV
→ BLOOOM, INC.Registered adviserregistration: previous registration
Oct 3, 2015 to Nov 16, 2022factForm ADV
→ CREATIVE PLANNINGRegistered adviserregistration: previous registration
Jun 29, 2015 to Sep 28, 2015factForm ADV
→ SMART401K, LLCRegistered adviserregistration: previous registration
Mar 7, 2013 to Jul 9, 2015factForm ADV

Dated events

Occurred
May 28, 2024
Advisor changed firm
Andrew James Thomas left Morgan Stanley for Cetera Planning Partners (registered 2024-05-21)
Form ADVobserved 5 days ago
Occurred
Nov 16, 2022
Advisor changed firm
Andrew James Thomas left Blooom, Inc. for Morgan Stanley (registered 2023-01-20)
Form ADVobserved 5 days ago