Thomas Joseph Cummings

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

Authority	Category	Status	Date
NJ	RA	APPROVED	2015-05-08

NJ RA
APPROVED

Since 2015-05-08

Branch Locations

Manasquan, NJ • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Cetera Financial Specialists Llc	Schaumburg	IL	02/2015	Present
Cetera Investment Advisers Llc	Schaumburg	IL	05/2015	Present
Cummings Wealth Management, Llc	Bernardsville	NJ	11/2015	Present

02/2015 → Present

Cetera Financial Specialists Llc

Schaumburg, IL
05/2015 → Present

Cetera Investment Advisers Llc

Schaumburg, IL
11/2015 → Present

Cummings Wealth Management, Llc

Bernardsville, NJ

Other Businesses

1) DBA CUMMINGS WEALTH MANAGEMENT, LLC, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FINANCIAL SERVICES, STARTED 11/2015, OWNER, APX 5 HOURS PER WEEK, DURING TRADING HOURS, IPC PORTFOLIOS AND MANAGING CLIENT RELATIONSHIPS.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2015-05-05

S66 Uniform Combined State Law Examination

2015-05-05

View on SEC IAPD