Thomas Michael Lord
Investment Adviser Representative at Cetera Investment Advisers LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Thomas Michael Lord is an investment adviser representative with Cetera Investment Advisers LLC in Eatontown, NJ, where they have been registered since 2024. They have worked in the securities industry since 2006 and have been registered with 4 firms, including Cetera Advisors LLC and Wells Fargo Clearing Services, LLC. They have passed 4 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in New Jersey.
Office
Advisors at this office: 3
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- New Jersey
- Broker:
1 state or territory
New Jersey
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Fidelity Brokerage Services LLCJun 2015 – Oct 2017Shrewsbury, NJ
- Wells Fargo Clearing Services, LLCJun 2019 – Mar 2021Oakhurst, NJ
- Wells Fargo Bank, NAJun 2019 – Mar 2021Oakhurst, NJ
- AAA Mid-AtlanticApr 2018 – Jun 2019Eatontown, NJ
- Auto LendersOct 2017 – Apr 2018Toms River, NJ
- Rockdale Financial ServicesMar 2021 – no end date reportedEatontown, NJ
- Cetera Advisors LLCMar 2021 – no end date reportedSt. Cloud, MN
- Cetera Investment Advisers LLCMar 2024 – no end date reportedSchaumburg, IL
Official records & sources
Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Cetera Investment Advisers LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Advisory services, investment advisory services, custody services, insurance agency services, sweep programs, and retirement planning resources, along with access to registered and alternative investment products.
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 10,459
- Offices listed on AdvisorFinder:
- 27
- Main office:
- Schaumburg, IL
- SEC file number:
- 801-20406
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of August 13, 2026
View full firm profileOther advisors at Cetera Investment Advisers LLC
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Thomas Michael Lord has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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