Thomas Michael Baumgartner

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

• 01/1973 → Present
  Self-Employed Life Insurance Sales
  St. Paul, MN
• 05/1974 → Present
  Self Actor
  Monticello, MN
• 05/1979 → Present
  Self
  St Paul, MN
• 01/2013 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Other Businesses

1. FIXED INSURANCE - LIFE, HEALTH AND ANNUITIES. 2. TOM BAUMGARTNER AGENCY, OWNER, FOR INSURANCE AGENCY SALES, SAINT PAUL, MN. 3. CHOICE FINANCIAL GROUP, GRAFTON, ND - ONLINE BANKING REFERAL OF PERSONS AND ENTITIES, 1 HOUR PER WEEK. 4. DBA - TOM BAUMGARTNER, COMEDY, ONE HOUR PER WEEK.

Exams

• S63 Uniform Securities Agent State Law Examination
  1996-03-19

Designations

• Chartered Financial Consultant