Thomas William Stoecker

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

• 08/2000 → Present
  Legacy Financial Group
  Springfield, IL
• 05/2001 → 09/2019
  Summit Brokerage Services, Inc
  Anchorage, AK
• 06/2001 → 05/2021
  Summit Financial Group,Inc
  Springfield, IL
• 09/2019 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2001-07-19 → 2021-05-20
  Summit Financial Group Inc
  Virden, IL

Other Businesses

(1) AMERICAN LEGION, 118 S DYE ST, PO BOX 386, VIRDEN, IL 62690; TREASURER; TREASURER/HONOR GUARD CAPTAIN/POST OFFICER; 5 HOURS SPENT ON ACTIVITY PER MONTH, 0 DURING TRADING HOURS (2) SHAW'S POINT TOWNSHIP SUPERVISOR; SINCE 01/01/2016; 22839 MAIN ST. ATWATER, IL, 62572; SUPERVISOR; SUPERVISE MONTHLY/ ANNUAL MEETINGS. PAY THE BILLS; 2 HOURS SPENT ON ACTIVITY PER MONTH, 0 DURING TRADING HOURS (3) MACOUPIN COUNTY BOARD; NOT INVESTMENT RELATED; 201 E MAIN ST CARLINVILLE, IL 62626; SEAT IN THE COUNTY BOARD OF REVIEW TO HEAR APPEALS FOR THE ASSESSMENT OF PROPERTY TAXES; BOARD MEMBER; 08/16/2018; APPX 1-5 HOURS/MONTH; APPX 0 HOURS/MONTH DURING TRADING; THE BOARD OF REVIEW REVIEWS WRITTEN COMPLAINTS ON PROPERTY TAX ASSESSMENTS. (4) NAME OF OTHER BUSINESS: MACOUPIN COUNTY REPUBLICAN CENTRAL COMMITTEE; INVESTMENT RELATED: NO; ADDRESS: 21079 COOPS MOUND ROAD CARLINVILLE, IL 62626; NATURE OF BUSINESS: POLITICAL COMMITTEE START DATE: 4/2021; POSITION/TITLE/RELATIONSHIP: COMMITTEE MEMBER; APX NUMBER OF HOURS PER WEEK: .5; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: DIRECT EFFORTS OF ORGANIZATION, RECRUIT CANDIDATES FOR LOCAL RACES; (5) NAME OF OTHER BUSINESS: LEGACY FINANCIAL GROUP, LLC INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: TAX & ACCOUNTING; START DATE: 08/01/2000 POSITION/TITLE/RELATIONSHIP: PRESIDENT APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: OWNER, USED FOR TAX PURPOSES WHEN I FILE MY TAXES

Exams

• S65 Uniform Investment Adviser Law Examination
  1998-01-20
• S63 Uniform Securities Agent State Law Examination
  1994-02-24