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.

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

Jun 24, 1993earliest registration or exam on IAPD

Years in industry

33derivedfrom the industry start date

Years at current firm

3derivedfrom the current registration's begin date

Prior firms

2

Current registrations

2

Registered states

1

Designations

Certified Financial Planner

Exams

S65|S63

First exam

Jun 24, 1993

First registration

Mar 28, 1996

Dual registered

yes, broker-dealer

Other names

THOMAS G MALKOCH

IAPD individual key

2352924

Graph

RIA / Wealth Management

Canonical id

dfx:ria:ad7c1073-1745-7999-ceda-110f9ba7ea43

First observed

Mar 28, 1996

Last observed

Sep 15, 2026 5 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.