Sallie M. Thompson

CETERA INVESTMENT ADVISERS LLC

WASHINGTON, DC

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CRD#: 2406384

Professional summary

Sallie Mullins Thompson, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Washington, District Of Columbia and CETERA WEALTH SERVICES, LLC located in Washington, District Of Columbia.

Sallie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Sallie has worked at 9 firms and has passed the Series 63, SIE and Series 6 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)Sallie Mullins Thompson, CPA PLLC; Owner/Sole Proprietor; Accounting & payroll services/Tax return preparation & planning/Business consulting; NIR; 120; 01/01/2006; 3700 Massachusetts Ave NW Washington DC 20016; As the Principal/Managing member, I personally provide all the services, except for Payroll, which is outsourced. The majority of my time is spent on Tax Preparation, Tax Planning, and Business Consulting.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sallie Mullins Thompson's CRS (Customer Relationship Summary).

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^®

Certified Financial Planner

Start date: 2012

Experience

Current

September 5, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

WASHINGTON, DC

Current

September 5, 2025 - Present

CETERA WEALTH SERVICES, LLC

CRD#: 13572

Washington, DC

Past

January 10, 2022 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

Washington, DC

Past

September 1, 2021 - November 23, 2021

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

Washington, DC

Past

March 14, 2012 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

Washington, DC

Past

May 24, 2010 - February 1, 2012

MML INVESTORS SERVICES, LLC

CRD#: 10409

WOODBURY, NY

Past

October 31, 2008 - November 4, 2008

OSAIC SERVICES, INC.

CRD#: 133763

HOUSTON, TX

Past

May 2, 1997 - October 31, 2008

AMERICAN GENERAL SECURITIES INCORPORATED

CRD#: 13626

HOUSTON, TX

Past

February 16, 1995 - July 17, 1995

DOMINION INVESTOR SERVICES, INC.

CRD#: 21548

MARBLE FALLS, TX

Past

September 30, 1993 - June 27, 1994

VERAVEST INVESTMENTS, INC.

CRD#: 3960

WORCESTER, MA

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Connecticut
(9/5/2025)

District of Columbia
(9/5/2025)

IAR

District of Columbia
(9/5/2025)

Florida
(9/5/2025)

Maryland
(9/5/2025)

New York
(9/5/2025)

Virginia
(9/5/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 10/5/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 9/29/1993

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Firm Stability Insights

Sallie M. Thompson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sallie Mullins Thompson's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

AVANTAX ADVISORY SERVICES

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

MML INVESTORS SERVICES, LLC

OSAIC SERVICES, INC.

AMERICAN GENERAL SECURITIES INCORPORATED

DOMINION INVESTOR SERVICES, INC.

VERAVEST INVESTMENTS, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/5/1993

SIE

Date: 10/1/2018

Series 6

Date: 9/29/1993

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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