Thomas Baumgartner
Thomas Baumgartner is a ChFC-designated registered investment advisor at Cetera Investment Advisers LLC, based in St. Paul, MN, with 52 years of industry experience. Thomas operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Location
St. Paul, MN
Get directionsHistory
Regulatory History (2)
Regulatory
October 1997Regulatory
May 1993Other Business ActivitiesSells Insurance
Thomas sells fixed insurance products including life, health, and annuities through his agency, Tom Baumgartner Agency. He also refers persons and entities to Choice Financial Group for online banking and performs comedy under the DBA Tom Baumgartner, dedicating minimal time to each of these activities.
Employment History
Current Registrations
Cetera Investment Advisers LLC
Cetera Wealth Services, LLCBroker
Previous Registrations
Cetera Advisor Networks LLC
John Hancock Distributors, INC.Broker
John Hancock Mutual Life Insurance CompanyBroker
Sun Investment Services CompanyBroker
Philadelphia Life Asset Planning CompanyBroker
State Registrations5 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.