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Current Employers
Cetera Investment Advisers Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2024-02-07
GA RA APPROVED 2020-05-05
  • TX RA
    APPROVED_RES
    Since 2024-02-07
  • GA RA
    APPROVED
    Since 2020-05-05

Branch Locations

2616 Dawson Road, Albany, GA 31707 • 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
OrganizationCityStateFromTo
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
Previous Registrations
Other Businesses

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

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-03-14
  • S66 Uniform Combined State Law Examination
    2015-03-14
Other Names
  • Thomas Gardner Rumph
  • Thomas Rumph

View on SEC IAPD

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