Thomas Wallach

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

• 01/1999 → Present
  Wallach Financial Services, Llc
  Chester, NJ
• 10/2005 → Present
  Cetera Financial Specialists Llc
  Schaumburg, IL
• 10/2005 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2002-07-02 → 2005-10-24
  C.J.M. Asset Management, Llc
  Pompton Lakes, NJ

Other Businesses

1) WALLACH FINANCIAL SERVICES, LLC, NOT INVESTMENT RELATED-TAX PREPARATION - ANNUAL PLANNING-OWNER-SD:1/99-TAX PREP. & TAX PLAN.-20 HR WORK WEEK-NO PARTNERSHIP. - FOR TAX RELATED ITEMS - DEDUCTIONS AND CREDITS - SOLE PROPRIETOR 66 MELROSE DRIVE, CHESTER, NJ 07930; 2) NAME OF OTHER BUSINESS: CHI PHI FRATERNITY ; INVESTMENT RELATED: NO ADDRESS: 95 COLLEGE AVENUE NEW BRUNSICK, NJ 08901 ; NATURE OF BUSINESS: FRATERNITY ; START DATE: 3/2020 POSITION/TITLE/RELATIONSHIP: VICE PRESIDENT ; APX NUMBER OF HOURS PER WEEK: 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1 ; BRIEF DESCRIPTION OF DUTIES: MONITOR MEMBERS IN REGARDS TO ELIGIBILITY, ATTENDANCE, AND DEVELOPMENT. NO FINANCIAL RESPONSIBILITIES ; 3) WALLACH FINANCIAL SERVICES, LLC; DBA NAME FOR INVESTMENT PRACTICE - INV. RELATED; CHESTER, NJ; TAX PRACTICE/INVESTMENT SERVICES; OWNER; SINCE 11/2012; 80HRS/MONTH; 40 HOURS/MONTH DURING SECURITIES TRADING HOURS: 4) NAME OF OTHER BUSINESS: WALLACH FINANCIAL SERVICES, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: PREPARING TAX RETURNS AND GIVING TAX ADVICE START DATE: 1999 APX NUMBER OF HOURS PER WEEK: 30 APX NUMBER OF TRADING HOURS PER WEEK: 25 POSITION/TITLE/RELATIONSHIP: 100% OWNER BRIEF DESCRIPTION OF DUTIES: PREPARING TAX RETURNS & GIVING TAX ADVICE 5) NAME OF OTHER BUSINESS: HUNTERDON PREPARATORY SCHOOL; INVESTMENT RELATED: NO ; ADDRESS: 11 SPENCER LANE ANNANDALE, NJ 08801; NATURE OF BUSINESS: BOARD; START DATE: 07/2024; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: VARIES; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: ESTABLISH STRATEGIC PLAN, APPROVE ANNUAL BUDGET, TUITION RATE, HANDBOOK, BENEFITS AND STUDENT COST, FINANCIAL DECISIONS NOT MADE BY EXEC DIRECTOR;

Exams

• S66 Uniform Combined State Law Examination
  1999-12-11

Designations

• Certified Financial Planner
• Personal Financial Specialist