Thomas Walling
Thomas Walling is a CFP-designated registered investment advisor at Cetera Investment Advisers LLC, based in Savannah, GA, with 26 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
Firm Size
IM Fee
Assets Under Management
Location
Savannah, GA
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Thomas is an independent insurance agent selling disability, life/accident/health, and long-term care insurance, dedicating about 10-20% of his time. He is also a columnist for a community newsletter in Albany, NY, spending minimal time on this activity.
Employment History
Current Registrations
Cetera Investment Advisers LLC
Cetera Wealth Services, LLC
Cetera Wealth Services, LLCBroker
Previous Registrations
Cetera Advisor Networks LLC
Tower Square Securities, INC.Broker
Metlife Securities INC.Broker
Tower Square Securities, INC.Broker
Metlife Securities INC.
Metlife Securities INC.Broker
Metropolitan Life Insurance CompanyBroker
American Express Financial Advisors INC.Broker
Ids Life Insurance CompanyBroker
State Registrations8 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.
Exams
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