James A. Tomik
CETERA INVESTMENT ADVISERS LLC
LAND O LAKES, FL 34638
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CRD#: 2245555
Professional summary
James Anthony Tomik, CFP®, ChFC®, CLU® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Land O Lakes, Florida and CETERA WEALTH SERVICES, LLC located in Land O Lakes, Florida.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. James has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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: JTOMIK INVESTMENT PLANING GROUP, LLC; INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: TAX PREPARATION; START DATE: 6/2008; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: TAX PREPARATION SERVICES FOR CLIENTS; 2. NAME OF OTHER BUSINESS: ZAHN ASSOCIATES; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: CFP CERTIFICATION CLASSES; START DATE: 2/2010 POSITION/TITLE/RELATIONSHIP: INSTRUCTOR; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 5; BRIEF DESCRIPTION OF DUTIES: CFP LIVE REVIEW BOARD EXAM PREPARATION ;
CRS (Client Relationship Summary) - RIA
Click below to view James Anthony Tomik'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®
CFP®
Start date: 2000
Experience
Current
May 25, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 2647 Narnia Way Suite 102-3, Land O Lakes, FL 34638RIA
CRD#: 105644
LAND O LAKES, FL
Current
September 20, 2019 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2647 Narnia Way Suite 102-3, Land O Lakes, FL 34638BD
CRD#: 13572
Land O Lakes, FL
Past
May 20, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
July 22, 2008 - May 20, 2021
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
SARASOTA, FL
Past
July 14, 2008 - September 20, 2019
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
Sarasota, FL
Past
July 7, 2008 - July 11, 2008
VSR FINANCIAL SERVICES, INC.
RIA
CRD#: 14503
TAMPA, FL
Past
July 2, 2008 - July 11, 2008
VSR FINANCIAL SERVICES, INC.
BD
CRD#: 14503
TAMPA, FL
Past
July 12, 1993 - July 3, 2008
J. B. HANAUER & CO.
RIA
CRD#: 6958
TAMPA, FL
Past
October 9, 1992 - July 3, 2008
J. B. HANAUER & CO.
BD
CRD#: 6958
TAMPA, FL
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(9/20/2019)
RR
Colorado(9/20/2019)
RR
Connecticut(4/25/2024)
RR
Delaware(10/6/2022)
RR
Florida(9/21/2019)
IAR
Florida(5/25/2023)
RR
Illinois(9/20/2019)
RR
Indiana(9/20/2019)
RR
Maryland(9/20/2019)
RR
Michigan(9/20/2019)
RR
New Jersey(9/20/2019)
RR
New York(9/20/2019)
RR
North Carolina(9/20/2019)
RR
Ohio(1/5/2022)
RR
Pennsylvania(9/20/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
