AT
Anthony J. Tumea
CETERA INVESTMENT ADVISERS LLC
DOWNERS GROVE, IL
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CRD#: 1163541
AT
Professional summary
Anthony J Tumea, who also goes by Anthony J Tuema, Tony Tumex, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Downers Grove, Illinois and CETERA FINANCIAL SPECIALISTS LLC located in Downers Grove, Illinois.
Anthony is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Anthony has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 22 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Anthony J Tuema | Tony Tumex
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) NAME OF OTHER BUSINESS: TUMEA & ASSOCIATES CPA FIRM INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: ACCOUNTING & TAX PREPERATION START DATE: 1/1984 APX NUMBER OF HOURS PER WEEK: 20 APX NUMBER OF HOURS DURING TRADING HOURS: 20 POSITION/TITLE/RELATIONSHIP: OWNER BRIEF DESCRIPTION OF DUTIES: GENERAL OWNERSHIP DUTIES 2) NAME OF OTHER BUSINESS: DOWNERS GROVE LIONS CLUB INVESTMENT RELATED: NO ADDRESS: PO BOX 24 DOWNERS GROVE FL 60515 NATURE OF BUSINESS: LOCAL CIVIC ORGANIZATION START DATE: 1/2015 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 POSITION/TITLE/RELATIONSHIP: TREASURER & BOARDMEMBER BRIEF DESCRIPTION OF DUTIES: WRITE CHECKS, MAKE DEPOSTS, ATTEND BOARD MEETINGS & PREPARE FINANCIAL STATEMENTS 3) NAME OF OTHER BUSINESS: CHICAGOLAND WEST SUBURBAN DBA WEST TOWNS CHORUS INVESTMENT RELATED: NO ADDRESS: PO BOX 1005 DOWNERS GROVE IL 60515 NATURE OF BUSINESS: CHORAL GROUP START DATE: 1/2015 APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 2 POSITION/TITLE/RELATIONSHIP: TREASURER & BOARDMEMBER BRIEF DESCRIPTION OF DUTIES: WRITE CHECKS, MAKE DEPOSTS, ATTEND BOARD MEETINGS & PREPARE FINANCIAL STATEMENTS 4) NAME OF OTHER BUSINESS: BUFFALO THEATRE ENSEMBLE; INVESTMENT RELATED: NO; ADDRESS: 1755 S. NAPERVILLE RD, #200 WHEATON, IL 60189; NATURE OF BUSINESS: NONPROFIT THEATRE; START DATE: 7/2023; POSITION/TITLE/RELATIONSHIP: TREASURER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: RECONCILE BANK STATEMENTS, APPROVE PAYROLLS, REVIEW FINANCIAL STATEMENTS;
CRS (Client Relationship Summary) - RIA
Click below to view Anthony J Tumea's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 19, 2010 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
DOWNERS GROVE, IL
Current
September 25, 1998 - Present
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
DOWNERS GROVE, IL
Past
February 6, 1998 - October 1, 1998
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
Past
October 12, 1983 - September 27, 1985
ELWYN, WILLBERT & HAIG INC.
BD
CRD#: 8500
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Illinois(9/25/1998)
IAR
Illinois(8/19/2010)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
