TS
Thomas C. Seiwert
CETERA INVESTMENT ADVISERS LLC
CHICAGO, IL 60631
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CRD#: 2031765
TS
Professional summary
Thomas C Seiwert, who also goes by Thomas Charles Seiwert, Thomas L Seiwert, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Chicago, Illinois and CETERA FINANCIAL SPECIALISTS LLC located in Chicago, Illinois.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Thomas has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas Charles Seiwert | Thomas L Seiwert
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: SEIWERT & ASSOCIATES, CPAS, P.C. ; INVESTMENT RELATED: NO ; ADDRESS: 8955 W HIGGINS RD, SUITE 250, CHICAGO, IL, 60631 ; NATURE OF BUSINESS: ACCOUNTING & TAX SERVICES ; START DATE: 06/2021 ; POSITION/TITLE/RELATIONSHIP: OWNER ; APX NUMBER OF HOURS PER WEEK: 40 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ; BRIEF DESCRIPTION OF DUTIES: ACCOUNTING & TAX SERVICES ; 2) SEIWERT FINANCIAL SERVICES, NOT INV REL, PRESIDENT, 4H/WK, SINCE 06/2001: 3)SEIWERT FINANCIAL SERVICES, INC; INV-REL; PARK RIDGE, IL; PRESIDENT; FINANCIAL SERVICES INVESTMENT AND INSURANCE; START DATE 11/2012; 5HRS/MNTH DURING SECURITY TRADING HRS: 4)NAME OF OTHER BUSINESS: WEICHERT REALTORS ; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: REAL ESTATE ; START DATE: 06/2017 ; POSITION/TITLE/RELATIONSHIP: BROKER ASSOCIATE APX NUMBER OF HOURS PER WEEK: 2 ; APX NUMBER OF HOURS DURING TRADING HOURS: 2 ; BRIEF DESCRIPTION OF DUTIES: ASSIST CLIENTS WITH BUYING AND/ OR SELLING HOMES ; 5) NAME OF OTHER BUSINESS: PAUL SEIWERT FOUNDATION ; INVESTMENT RELATED: NO ; ADDRESS: SAME AS NON-REGISTERED LOCATION ; NATURE OF BUSINESS: FOUNDATION ; START DATE: 11/2008 ; POSITION/TITLE/RELATIONSHIP: DIRECTOR ; APX NUMBER OF HOURS PER WEEK: LESS THAN 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1 ; BRIEF DESCRIPTION OF DUTIES: ASSIST KIDS WITH CANCER ;
CRS (Client Relationship Summary) - RIA
Click below to view Thomas C Seiwert'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
July 2, 2004 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 8755 West Higgins Rd Ste 250, Chicago, IL 60631RIA
CRD#: 105644
CHICAGO, IL
Current
June 30, 2004 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 8755 West Higgins Rd Ste 250, Chicago, IL 60631BD
CRD#: 10358
CHICAGO, IL
Past
January 28, 2002 - July 2, 2004
HOCHMAN & BAKER INVESTMENT ADVISORY SERVICES, INC.
RIA
CRD#: 105560
CHICAGO, IL
Past
January 21, 1999 - June 30, 2004
HOCHMAN & BAKER SECURITIES, INC.
BD
CRD#: 19949
STAMFORD, CT
Past
April 15, 1996 - January 15, 1999
NSA SECURITIES CORPORATION
BD
CRD#: 38472
SCHAUMBURG, IL
Past
March 13, 1990 - February 14, 1996
HOCHMAN & BAKER SECURITIES, INC.
BD
CRD#: 19949
STAMFORD, CT
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
California(2/8/2024)
RR
Florida(7/6/2004)
RR
Illinois(6/30/2004)
IAR
Illinois(7/2/2004)
RR
North Carolina(2/10/2025)
RR
Wisconsin(1/19/2022)
Exams
State Security Law Exam
State Security Law 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
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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.
