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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

THOMAS MICHAEL GALBRAITH

Advisor at CETERA INVESTMENT ADVISERS LLC

HENDERSON, NV

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Search this name across graphsid dfx:ria:c3aa3197-bd04-9b7b-d80e-c0548e296045

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:42 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 3, 2002 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: Dec 13, 1995earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Dec 13, 1995
First registration: May 3, 2002
Dual registered: yes, broker-dealer
Other names: THOMAS MICHAEL GALBRAITH
IAPD individual key: 2674124

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 29, 2023	n/a	yes	HENDERSON, NV	Current employment
SUMMIT FINANCIAL GROUP INC	Former SEC adviser	May 17, 2004	May 20, 2021	no	HENDERSON, NV\|HENDERSON, NV\|HENDERSON, NV	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Dec 5, 2002	Jun 4, 2004	no	LAS VEGAS, NV	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	May 3, 2002	Dec 12, 2002	no	LAS VEGAS, NV	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
SUMMIT FINANCIAL GROUP INC	CETERA INVESTMENT ADVISERS LLC	May 20, 2021	Jun 29, 2023	770	Bulk transfer	Ibd to ibd
UBS FINANCIAL SERVICES INC.	SUMMIT FINANCIAL GROUP INC	Jun 4, 2004	May 17, 2004	-18	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	UBS FINANCIAL SERVICES INC.	Dec 12, 2002	Dec 5, 2002	-7	Firm change	Other

Relationships

Registered with (4)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Jun 29, 2023 to presentfactForm ADV
→ SUMMIT FINANCIAL GROUP INCRegistered adviserregistration: previous registration
May 17, 2004 to May 20, 2021factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Dec 5, 2002 to Jun 4, 2004factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
May 3, 2002 to Dec 12, 2002factForm ADV

Dated events

No dated event names this entity yet.