Sallie Mullins Thompson

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

• 03/2012 → 09/2025
  Avantax Investment Services, Inc.
  New York, NY
• 03/2012 → 09/2025
  Avantax Insurance Agency, Llc
  New York, NY
• 03/2012 → 09/2025
  Avantax Advisory Services
  New York, NY
• 01/2006 → 10/2021
  Sallie Mullins Thompson,Cpa Pllc
  New York, NY
• 09/2025 → Present
  Cetera Wealth Services, Llc
  Washington, DC
• 09/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2021-09-01 → 2025-09-05
  Avantax Advisory Services
  Dallas, TX
  Washington, DC
  Washington, DC

Other Businesses

1)Sallie Mullins Thompson, CPA PLLC; Owner/Sole Proprietor; Accounting & payroll services/Tax return preparation & planning/Business consulting; NIR; 120; 01/01/2006; 3700 Massachusetts Ave NW Washington DC 20016; As the Principal/Managing member, I personally provide all the services, except for Payroll, which is outsourced. The majority of my time is spent on Tax Preparation, Tax Planning, and Business Consulting. 2) NAME OF OTHER BUSINESS: FAMILYKIND LTD INVESTMENT RELATED: NO ADDRESS: 37 W. 72ND STREET 15E, 5F NATURE OF BUSINESS: BOARD START DATE: 6/1/2026 POSITION/TITLE/RELATIONSHIP: TREASURER APX NUMBER OF HOURS PER WEEK: 10 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: KNOWLEDGE OF ACCESS, DEBTS, SYSTEMS, BUDGET, POLICIES, AND REPORTS.

Exams

• S63 Uniform Securities Agent State Law Examination
  1993-10-05

Designations

• Certified Financial Planner
• Personal Financial Specialist