DID THOMAS PAUL BRENNAN III CAUSE YOU INVESTMENT LOSSES?
About Thomas Brennan, III Of Cetera Advisor Networks LLC?
Thomas Brennan, III (CRD #6134503) currently holds registrations with Cetera Advisor Networks LLC and Cetera Investment Advisers LLC, both situated in Blue Bell, Pennsylvania. Since initiating his career in securities, Brennan has gained considerable experience across multiple firms and states. His exam accomplishments include passing three general industry/product exams and two multi-state securities law exams. Brennan is currently registered in four U.S. states and territories and has a history of employment with notable firms such as Northwestern Mutual Investment Services and Voya Financial Advisors. His registration history spans from 11/2013 at Northwestern Mutual in Philadelphia, PA, to his latest registration beginning 06/29/2023 with Cetera Investment Advisers LLC.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Thomas Brennan, III Customer Complaints and Reviews
Thomas P. Brennan III’s BrokerCheck report reveals one customer dispute:
- Customer Dispute: A complaint was filed against Brennan while he was employed by Voya Financial Advisors, Inc. The complainant alleged improper advice regarding an annuity replacement in May 2021, which reportedly led to a loss of a lifetime income rider valued at $19,000 annually. The dispute, claiming alleged damages of $5,000, was received on 06/18/2023 and was subsequently denied on 07/18/2023.
Allegations Against Thomas Brennan, III
Thomas P. Brennan III faced allegations in the context of a customer dispute during his tenure with Voya Financial Advisors, Inc.:
- Allegation Details: The specific allegation made in May 2021 accused Brennan of recommending an annuity replacement that resulted in the loss of significant financial benefits for the client, specifically a lifetime income rider. The client estimated the value of the lost benefits at $19,000 annually, with a formal complaint filed in June 2023 seeking compensatory damages initially quantified at $5,000. This complaint was formally denied in July 2023.
Thomas Brennan, III Red Flags & Your Rights As An Investor
Of course, Thomas Brennan, III did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Thomas Brennan, III at Cetera Advisor Networks LLC, Voya Financial Advisors, Inc. and Northwestern Mutual Investment Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Thomas Brennan, III has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisor Networks LLC, Voya Financial Advisors, Inc., and Northwestern Mutual Investment Services, LLC also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At Cetera Advisor Networks LLC Due To Thomas Brennan, III
If you have questions about Cetera Advisor Networks LLC, Voya Financial Advisors, Inc., Northwestern Mutual Investment Services, LLC and/or Thomas Brennan, III and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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