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Current Employers
Cetera Investment Advisers Llc

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

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2024-03-21
  • OH RA
    APPROVED
    Since 2024-03-21

Branch Locations

7000 Fitzwater Rd, Suite 110, Brecksville, OH 44141 • United States

10250 Alliance Rd Ste 125, Cincinnati, OH 45242 • 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
OrganizationCityStateFromTo
Freeman Heyne Cincinnati OH 02/2012 10/2017
Cetera Advisors Llc Denver CO 01/2013 Present
Freeman Heyne Toma, Llc Cincinnati OH 10/2017 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
  • 02/2012 → 10/2017
    Freeman Heyne
    Cincinnati, OH
  • 01/2013 → Present
    Cetera Advisors Llc
    Denver, CO
  • 10/2017 → Present
    Freeman Heyne Toma, Llc
    Cincinnati, OH
  • 03/2024 → Present
    Schaumburg, IL
Other Businesses

1. NAME OF OTHER BUSINESS: FREEMAN HEYNE TOMA, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 10/2017 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 POSITION/TITLE/RELATIONSHIP: CLIENT RELATIONSHIP MANAGER BRIEF DESCRIPTION OF DUTIES: PREPARE REPORTS, IMPLEMENT ADVISOR MADE RECOMMENDATIONS, ANSWER & ASSIST CLIENT QUESTIONS/SERVICE NEEDS; 2. NAME OF OTHER BUSINESS: NOTARY PUBLIC COMMISSION; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: NOTARIZING DOCUMENTS ; START DATE: 01/2022; POSITION/TITLE/RELATIONSHIP: NOTARY ; APX NUMBER OF HOURS PER WEEK: 1-2 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1-2; BRIEF DESCRIPTION OF DUTIES: NOTARIZING DOCUMENTS ; 3. NAME OF OTHER BUSINESS: SAFE OHIO SCHOOLS; INVESTMENT RELATED: NO ADDRESS: 7000 FITZWATER RD BRECKSVILLE, OH 44141; NATURE OF BUSINESS: BOARD; START DATE: 6/15/26; POSITION/TITLE/RELATIONSHIP: SECRETARY; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS:0; BRIEF DESCRIPTION OF DUTIES: PROMOTE AND ENDORSE SAFETY IN SCHOOLS;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-12-06
  • S66 Uniform Combined State Law Examination
    2012-12-06
Designations
Other Names
  • Thomas A Dragar

View on SEC IAPD

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