Thomas Albert Goetz

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

• 04/1991 → 08/2018
  Mutual Of Omaha Investor Services, Inc.
  Omaha, NE
• 04/1991 → 08/2018
  Mutual/United Of Omaha Insurance Company
  Omaha, NE
• 08/2018 → Present
  Cetera Wealth Services, Llc
  Denver, CO
• 08/2018 → Present
  Cetera Advisors Llc
  Denver, CO
• 08/2018 → Present
  Cetera Financial Specialists Llc
  Schaumburg, IL
• 08/2018 → Present
  Cetera Investment Services Llc
  Saint Cloud, MN
• 08/2018 → Present
  Summit Brokerage Services, Inc.
  Boca Raton, FL
• 08/2018 → 09/2022
  First Allied Securities, Inc. (Fasi)
  San Diego, CA
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2002-11-20 → 2018-08-28
  Mutual Of Omaha Investor Services, Inc.
  Omaha, NE
  Omaha, NE

Exams

• S66 Uniform Combined State Law Examination
  2002-09-27
• S63 Uniform Securities Agent State Law Examination
  1997-06-20