TS
Thomas W. Stoecker
CETERA INVESTMENT ADVISERS LLC
VIRDEN, IL 62690
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CRD#: 2430351
TS
Professional summary
Thomas William Stoecker is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Virden, Illinois and CETERA WEALTH SERVICES, LLC located in Virden, Illinois.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Thomas has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 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) AMERICAN LEGION, 118 S DYE ST, PO BOX 386, VIRDEN, IL 62690; TREASURER; TREASURER/HONOR GUARD CAPTAIN/POST OFFICER; 5 HOURS SPENT ON ACTIVITY PER MONTH, 0 DURING TRADING HOURS (2) SHAW'S POINT TOWNSHIP SUPERVISOR; SINCE 01/01/2016; 22839 MAIN ST. ATWATER, IL, 62572; SUPERVISOR; SUPERVISE MONTHLY/ ANNUAL MEETINGS. PAY THE BILLS; 2 HOURS SPENT ON ACTIVITY PER MONTH, 0 DURING TRADING HOURS (3) MACOUPIN COUNTY BOARD; NOT INVESTMENT RELATED; 201 E MAIN ST CARLINVILLE, IL 62626; SEAT IN THE COUNTY BOARD OF REVIEW TO HEAR APPEALS FOR THE ASSESSMENT OF PROPERTY TAXES; BOARD MEMBER; 08/16/2018; APPX 1-5 HOURS/MONTH; APPX 0 HOURS/MONTH DURING TRADING; THE BOARD OF REVIEW REVIEWS WRITTEN COMPLAINTS ON PROPERTY TAX ASSESSMENTS. (4) NAME OF OTHER BUSINESS: MACOUPIN COUNTY REPUBLICAN CENTRAL COMMITTEE; INVESTMENT RELATED: NO; ADDRESS: 21079 COOPS MOUND ROAD CARLINVILLE, IL 62626; NATURE OF BUSINESS: POLITICAL COMMITTEE START DATE: 4/2021; POSITION/TITLE/RELATIONSHIP: CHAIRMAN; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: DIRECT EFFORTS OF ORGANIZATION, RECRUIT CANDIDATES FOR LOCAL RACES;
CRS (Client Relationship Summary) - RIA
Click below to view Thomas William Stoecker'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
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 160 N Dye St, Virden, IL 62690RIA
CRD#: 105644
VIRDEN, IL
Current
September 20, 2019 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 160 N Dye St, Virden, IL 62690BD
CRD#: 13572
Virden, IL
Past
May 20, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
July 19, 2001 - May 20, 2021
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
VIRDEN, IL
Past
May 31, 2001 - September 20, 2019
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
VIRDEN, IL
Past
March 27, 1997 - June 1, 2001
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
February 25, 1994 - March 27, 1997
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 5496
WELLESLEY HILLS, 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".
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
Alaska(9/20/2019)
RR
Arizona(9/20/2019)
RR
Arkansas(4/22/2024)
RR
Colorado(9/22/2025)
RR
Florida(9/21/2019)
RR
Illinois(9/20/2019)
IAR
Illinois(6/29/2023)
RR
Kentucky(9/20/2019)
RR
Maine(9/20/2019)
RR
Missouri(9/20/2019)
RR
Ohio(9/20/2019)
RR
Oregon(4/12/2023)
RR
Tennessee(1/5/2021)
RR
Texas(9/20/2019)
IAR
Texas(6/29/2023)
RR
Utah(11/14/2022)
RR
Virginia(1/5/2023)
RR
Washington(9/20/2019)
RR
Wisconsin(4/28/2021)
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
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
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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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Virden, IL 62690TRUST BUT VERIFY
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