Thomas Maurice Rooney

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

• 04/1997 → 09/2025
  Avantax Investment Services, Inc
  Williston Park, NY
• 08/1998 → 09/2025
  Avantax Advisory Services
  Williston Park, NY
• 10/1997 → 09/2025
  Avantax Insurance Agency, Llc
  Williston Park, NY
• 09/2025 → Present
  Cetera Wealth Services, Llc
  Williston Park, NY
• 09/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2021-07-23 → 2025-09-05
  Avantax Advisory Services
  Williston, NY

Other Businesses

1)No Name/Insurance Sales~'NIR'~101 Hillside Ave~Williston Park~NY~11596~Independent Insurance Agent~Insurance Sales Agent~12/6/2002~1hrs~0hrs~insurance agent|Rooney, Schmidt and Assoc. Inc~'NIR'~101 Hillside Ave~Williston Park~NY~11596~Tax Preparation/Accounting~President~6/1/2005~15hrs~10hrs~full name: Rooney, Schmidt and Assoc. Inc|

Exams

• S63 Uniform Securities Agent State Law Examination
  1996-01-23

Designations

• Certified Financial Planner