Thomas Joseph Walling

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

• 04/2009 → Present
  Ny Long Term Care Brokers
  Albany, NY
• 04/2009 → Present
  Community Newspaper
  Albany, NY
• 09/2013 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2002-01-03 → 2003-09-15
  Msi Financial Services, Inc.
  Plantation, FL

Other Businesses

(1) INDEPENDENT INSURANCE AGENT (DISABILITY, LIFE/ACCIDENT/HEALTH, LONG-TERM CARE) 15 SECURITIES TRADING HOURS WEEKLY, 0 NON SECURITIES TRADING HOURS WEEKLY, START DATE 11/2009 (2) COLUMNIST FOR COMMUNITY NEWSLETTER, ALBANY NY 2 SECURITIES TRADING HOURS WEEKLY, 2 NON SECURITIES TRADING HOURS WEEKLY, START DATE 6/2004 3) NAME OF OTHER BUSINESS: THE ALBANY COUNTY HISTORICAL ASSOC; INVESTMENT RELATED: NO; ADDRESS: 9 TEN BROEK PLACE, ALBANY, NY 12210; NATURE OF BUSINESS: BOARD; START DATE: 12/2025; POSITION/TITLE/RELATIONSHIP: ELECTED BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: ATTEND THE BOARD MEETINGS;

Exams

• S63 Uniform Securities Agent State Law Examination
  2000-01-18

Designations

• Certified Financial Planner