TS
Thomas J. Schoettle
CETERA INVESTMENT ADVISERS LLC
SAN DIEGO, CA 92109
Some features on this profile are disabled
CRD#: 2470033
TS
Professional summary
Thomas Joseph Schoettle JR, CFP®, who also goes by Thomas Joseph Jr Schoettle, Tom Schoettle Jr, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in San Diego, California and CETERA WEALTH SERVICES, LLC located in San Diego, California.
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 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas Joseph Jr Schoettle | Tom Schoettle Jr
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) SALE OF FIXED INSURANCE (LIFE, DISABILITY, ANNUITIES, LONG-TERM CARE); 2) ATTORNEY - DBA: LAW OFFICE OF THOMAS J. SCHOETTLE, JR (OWNER 100%). WWW.SCHOETTLEFINANCIAL.COM. 3 HOURS PER WEEK. SAN DIEGO, CA.; 3) NAME OF OTHER BUSINESS: N/A; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: LIMITED AUTHORITY AGENT; START DATE: 01/01/2017; POSITION/TITLE/RELATIONSHIP: LIMITED AUTHORITY AGENT; APX NUMBER OF HOURS PER WEEK: 1 HOUR; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: MONITOR ACCOUNT. 4) NAME OF OTHER BUSINESS: SCHOETTLE FINANCIAL; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 1/2004, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 50, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 5) NAME OF OTHER BUSINESS: NOTARY PUBLIC COMMISSION; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: NOTARIZING DOCUMENTS ; START DATE: 02/2024; POSITION/TITLE/RELATIONSHIP: NOTARY ; APX NUMBER OF HOURS PER WEEK: 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: NOTARIZING DOCUMENTS ; 6) NAME OF OTHER BUSINESS: THOMAS SCHOETTLE; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: RENTAL PROPERTY; START DATE: 10/2025; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: RENT OUT RESIDENTIAL RENTAL PROPERTY;
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Joseph Schoettle JR'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: 1997
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1010 Turquoise St Ste 255, San Diego, CA 92109RIA
CRD#: 105644
SAN DIEGO, CA
Current
September 20, 1996 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1010 Turquoise St Ste 255, San Diego, CA 92109BD
CRD#: 13572
SAN DIEGO, CA
Past
July 8, 1997 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
July 26, 1995 - December 31, 2010
SCHOETTLE FINANCIAL
RIA
CRD#: 118497
LA JOLLA, CA
Past
April 7, 1994 - September 17, 1996
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, 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
Arizona(5/15/2014)
RR
Arkansas(9/12/2003)
RR
California(9/20/1996)
IAR
California(6/29/2023)
RR
Colorado(1/4/2006)
RR
Delaware(7/2/2025)
RR
Florida(1/30/2007)
RR
Georgia(4/25/2024)
RR
Illinois(8/26/2024)
RR
Indiana(9/20/1996)
RR
Kentucky(11/29/2016)
RR
Maryland(9/12/2003)
RR
Massachusetts(7/12/2016)
RR
Minnesota(3/2/2011)
RR
Nevada(9/19/2018)
RR
New Jersey(2/3/2017)
RR
New Mexico(1/2/2015)
RR
New York(3/29/2024)
RR
North Carolina(1/29/2016)
RR
Oregon(5/26/2015)
RR
Pennsylvania(9/12/2019)
RR
South Carolina(1/5/2021)
RR
Tennessee(9/19/2022)
RR
Texas(1/9/2012)
IAR
Texas(6/29/2023)
RR
Virginia(6/19/2012)
RR
Washington(1/2/2009)
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
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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.
