James Edward Tromp

Current Employers

Cetera Investment Advisers Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2023-02-27
IL	RA	APPROVED	1998-02-16

TX RA
APPROVED_RES

Since 2023-02-27
IL RA
APPROVED

Since 1998-02-16

Branch Locations

110 Market Place, Manhattan, IL 60442-0003 • 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

Organization	City	State	From	To
James E Tromp Pc Cpa'S	Manhattan	IL	01/1981	Present
Cetera Financial Specialists Llc	Schaumburg	IL	06/1992	Present
Cetera Investment Advisers Llc	Schaumburg	IL	03/1995	Present

01/1981 → Present

James E Tromp Pc Cpa'S

Manhattan, IL
06/1992 → Present

Cetera Financial Specialists Llc

Schaumburg, IL
03/1995 → Present

Cetera Investment Advisers Llc

Schaumburg, IL

Other Businesses

1) JAMES E. TROMP PC CPAS, NOT INV REL, ACCTG & TAX PRAC-OWNER SINCE 1/1/80-ACCTG & TAX PRAC-30HR/WK; 2) TROMP FINANCIAL CONSULTANTS, DBA NAME FOR INVESTMENT PRACTICE, INV RELATED:

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1998-01-22
S63	Uniform Securities Agent State Law Examination	1992-09-14

S65 Uniform Investment Adviser Law Examination

1998-01-22
S63 Uniform Securities Agent State Law Examination

1992-09-14

View on SEC IAPD

Current Employers

Cetera Investment Advisers Llc

Disclosures

Employment History

Other Businesses

Exams

Other Firms

Other Investors

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