Tom Arthur Rothe

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 07/1992 → Present
  Tom A Rothe, Sc
  Oshkosh, WI
• 09/2001 → 09/2025
  Avantax Investment Services, Inc
  Oshkosh, WI
• 07/2002 → 09/2025
  Avantax Advisory Services
  Oshkosh, WI
• 09/2005 → 09/2025
  Avantax Insurance Agency And/Or Avantax Insurance Services
  Oshkosh, WI
• 09/2025 → Present
  Cetera Wealth Services, Llc
  Oshkosh, WI
• 09/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2002-07-17 → 2025-09-05
  Avantax Advisory Services
  Oshkosh, WI
  Oshkosh, WI

Other Businesses

1)Tom A. Rothe, S.C.~'NIR'~505 S Washburn St~Oshkosh~WI~54904~Tax Preparation/Accounting~President~7/1/1979~160hrs~160hrs~Owner/Operations 2)Suttner Accounting, INC.~'NIR'~491 S. Washburn St~Oshkosh~WI~54904~Tax Preparation/Accounting~Employee~1/1/2013~160hrs~160hrs~Tax return preparation, financial statement preparation.

Exams

• S66 Uniform Combined State Law Examination
  2002-05-03