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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)11 years in industry

Thomas William Pollock

Advisor at CETERA INVESTMENT ADVISERS LLC

Port Saint Lucie, FL | Neptune, NJ

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Search this name across graphsid dfx:ria:a6db84cf-d3ac-f907-b945-ccb2feb79b71

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jan 5, 2016 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 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: Sep 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S63|S66
First exam: Jan 4, 2016
First registration: Jan 5, 2016
Dual registered: yes, broker-dealer
Other names: Thomas William Pollock|Thomas William Pollock|Thomas Pollock
IAPD individual key: 6564272

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	Aug 22, 2025	n/a	yes	Port Saint Lucie, FL\|Neptune, NJ	Current employment
AVANTAX ADVISORY SERVICES	Former SEC adviser	Jan 20, 2025	Sep 5, 2025	no	Neptune, NJ\|Port Saint Lucie, FL\|DALLAS, TX\|Wall Township, NJ	Previous registration
ALPHA BETA GAMMA WEALTH MANAGEMENT	Former SEC adviser	Jan 8, 2021	Jan 3, 2025	no	PALM BEACH GARDENS, FL	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Jan 5, 2016	Jul 30, 2020	no	STUART, FL\|PALM BEACH GARDENS, FL\|STUART, FL	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
AVANTAX ADVISORY SERVICES	CETERA INVESTMENT ADVISERS LLC	Sep 5, 2025	Aug 22, 2025	-14	Bulk transfer	Ibd to ibd
ALPHA BETA GAMMA WEALTH MANAGEMENT	AVANTAX ADVISORY SERVICES	Jan 3, 2025	Jan 20, 2025	17	Firm change	RIA to ibd
UBS FINANCIAL SERVICES INC.	ALPHA BETA GAMMA WEALTH MANAGEMENT	Jul 30, 2020	Jan 8, 2021	162	Firm change	Wirehouse to RIA

Relationships

Registered with (4)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Aug 22, 2025 to presentfactForm ADV
→ AVANTAX ADVISORY SERVICESRegistered adviserregistration: previous registration
Jan 20, 2025 to Sep 5, 2025factForm ADV
→ ALPHA BETA GAMMA WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Jan 8, 2021 to Jan 3, 2025factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Jan 5, 2016 to Jul 30, 2020factForm ADV

Dated events

Occurred
Jan 3, 2025
Advisor changed firm
Thomas William Pollock left Alpha Beta Gamma Wealth Management for Avantax Advisory Services (registered 2025-01-20)
Form ADVobserved 6 days ago