Thomas Wayne Schug

Current Employers

Employment History

• 02/2017 → Present
  Schug Financial
  Manitowoc, WI
• 08/2013 → 06/2017
  Bonnier Corp
  Pewaukee, WI
• 02/2017 → 06/2021
  Voya Financial Advisors, Inc.
  Manitowoc, WI
• 06/2021 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2017-06-30 → 2021-06-09
  Voya Financial Advisors, Inc.
  Manitowoc, WI
  Marinette, WI
  Windsor, CT

Other Businesses

1)NAME OF OTHER BUSINESS: SCHUG FINANCIAL LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 2/2023; POSITION/TITLE/RELATIONSHIP: OWNER/PRESIDENT; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 2)NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 405 NORTH RAPIDS RD STE 3; MANITOWOC; WI; 54220; FIXED INSURANCE; INDEPENDENT INSURANCE AGENT; 5/23/2017; 160; 160; SALE OF FIXED INSURANCE PRODUCTS; 3) NAME OF OTHER BUSINESS: N/A, INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: NOTARY, START DATE: 12/2021, POSITION/TITLE/RELATIONSHIP: WISCONSIN NOTARY, APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, BRIEF DESCRIPTION OF DUTIES: NOTARIZE DOCUMENTS; 4) NAME OF OTHER BUSINESS: SCHUG FINANCIAL LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: TAX SERVICE BUSINESS; START DATE: 01/2024; POSITION/TITLE/RELATIONSHIP: OWNER/PRESIDENT; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 3; BRIEF DESCRIPTION OF DUTIES: OVERSEE OPERATIONS, OFFER TAX PREPARATION, PAYROLL AND BOOKKEEPING SERVICES;

Exams

• S66 Uniform Combined State Law Examination
  2017-06-27

Other Names

• Tom Schug