Thomas Gardner Rumph

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

From the firm’s Form ADV. Read the guides:

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2024-02-07
GA	RA	APPROVED	2020-05-05

Branch Locations

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Albany	GA	08/2014	11/2017
Bank Of America, N.A.	Albany	GA	08/2014	11/2017
Massmutual Life Insurance Co	Albany	GA	06/2018	05/2020
Mml Investors Services, Llc	Albany	GA	08/2018	05/2020
Needmore Properties	Albany	GA	12/2017	Present
Cetera Investment Services Llc	St. Cloud	MN	05/2020	Present
Cetera Investment Advisers Llc	Albany	GA	05/2020	Present
Regions Bank	Albany	GA	05/2020	Present

08/2014 → 11/2017

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Albany, GA
08/2014 → 11/2017

Bank Of America, N.A.

Albany, GA
06/2018 → 05/2020

Massmutual Life Insurance Co

Albany, GA
08/2018 → 05/2020

Mml Investors Services, Llc

Albany, GA
12/2017 → Present

Needmore Properties

Albany, GA
05/2020 → Present

Cetera Investment Services Llc

St. Cloud, MN
05/2020 → Present

Cetera Investment Advisers Llc

Albany, GA
05/2020 → Present

Regions Bank

Albany, GA

1.) NEEDMORE PROPERTIES, LLC, LICENSED REALTOR, NO OWNERSHIP

Code	Exam	Date
S66	Uniform Combined State Law Examination	2015-03-14

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