TS
TS
Thomas Stoecker
32 Years of Experience
Virden, IL
2 DisclosuresBroker
Thomas Stoecker is a registered investment advisor at Cetera Investment Advisers LLC, based in Virden, IL, with 32 years of industry experience. Thomas is also registered as a broker, so some compensation may come from commissions on products sold. Their firm serves 813,961 clients with $260B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10471 advisors
IM Fee
Planning only
Assets Under Management
$256.8B
Loading...
Location
160 N Dye St, Virden, IL, 62690
Get directionsHistory
Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
April 2014Closed-No Action
Customer Dispute
December 2005Denied
Other Business Activities
Thomas is the treasurer of the American Legion, a township supervisor, and a member of the Macoupin County Board. He also chairs the Macoupin County Republican Central Committee, dedicating a few hours per week to this role.
Employment History
Current Registrations
Cetera Investment Advisers LLC
June 2023 - Present · 3 yrs 4 mos
Cetera Wealth Services, LLCBroker
September 2019 - Present · 7 yrs 1 mo
Previous Registrations
Cetera Advisor Networks LLC
May 2021 - June 2023 · 2 yrs 1 mo
Summit Financial Group INC
July 2001 - May 2021 · 19 yrs 10 mos
Summit Brokerage Services, INC.Broker
May 2001 - September 2019 · 18 yrs 4 mos
Washington Square Securities, INC.Broker
March 1997 - June 2001 · 4 yrs 3 mos
Sun Investment Services CompanyBroker
February 1994 - March 1997 · 3 yrs 1 mo
State Registrations19 states
AKARAZCOFLILKYMEMONVOHORTNTXUTVAWAWIWV
AdvisorBrokerBoth
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.
Exams
No exam information available for this advisor.
More Advisors
- Andrew Maynerich, CFPMaynerich Financial