TV
Thomas A. Van Dellen
CETERA INVESTMENT ADVISERS LLC
SO HOLLAND, IL 60473
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CRD#: 2409457
TV
Professional summary
Thomas Alan Van Dellen, who also goes by Thomas Alan Vandellen, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in So Holland, Illinois and CETERA FINANCIAL SPECIALISTS LLC located in So. Holland, Illinois.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Thomas has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas Alan Vandellen
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) KIWANIS CLUB OF FRANKFORT, NOT INVESTMENT RELATED, FRANKFORT, IL, PRESIDENT, PLAN, ORGANIZE, MANAGE REGULAR MEETING 2X/MONTH, ORGANIZE EVENTS/FUND RAISERS, SUPPORT ACTIVITIES WHICH SERVE NEEDY CHILDREN/FAMILIES, SUPPORT LOCAL NON-PROFITS, SCHOOLS, INTERACT WITH OTHER COMMUNITY LEADERS, 3H/WEEK, SINCE 11/2017. 2) STEPPING STONE FINANCIAL INC., INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, FINANCIAL PROFESSIONAL, DBA FOR INVESTMENTS, SINCE 06/2021, 40H/WEEK. 3) FRANKFORT CHAMBER OF COMMERCE, NOT INVESTMENT RELATED, FRANKFORT, IL, VICE PRESIDENT, PART OF EXECUTIVE COMMITTEE PROVIDING SERVICE TO 580 LOCAL BUSINESSES, MANAGEMENT OF TWO CHAMBER EMPLOYEES, CHAMBER DIRECTOR RESPONSIBLE FOR SPONSORING EVENTS PROMOTING LOCAL BUSINESSES, 2H/WEEK, SINCE 01/2019. 4) BASKETBALL OFFICIAL, NOT INVESTMENT RELATED, FRANKFORT, IL, REFEREE BASKETBALL GAMES, PAID PER GAME, 10H/WEEK, SINCE 11/1993.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Alan Van Dellen'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
May 28, 2021 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 17075 So. Park Ave., So Holland, IL 60473RIA
CRD#: 105644
SO HOLLAND, IL
Current
May 28, 2021 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 17075 So. Park Ave., So. Holland, IL 60473BD
CRD#: 10358
So. Holland, IL
Past
January 9, 2018 - June 22, 2021
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Frankfort, IL
Past
August 30, 2017 - June 22, 2021
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Frankfort, IL
Past
April 19, 2016 - August 24, 2017
WADDELL & REED
RIA
CRD#: 866
OAK BROOK, IL
Past
January 4, 2016 - August 24, 2017
WADDELL & REED
BD
CRD#: 866
OAK BROOK, IL
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(5/28/2021)
IAR
Illinois(5/28/2021)
RR
Indiana(5/28/2021)
Exams
State Security Law 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.
