Allan J. Thompson

CETERA INVESTMENT ADVISERS LLC | Financial Advisor

LANCASTER, PA 17603

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CRD#: 2667966

Professional summary

Allan Jay Thompson Jr, who also goes by Allan Jay Thompson, Allan Thompson, Allan J Thompson, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Lancaster, Pennsylvania and CETERA WEALTH SERVICES, LLC located in Lancaster, Pennsylvania.

Allan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Allan has worked at 10 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

What are your service offerings?

Wealth Preservation Strategies

Retirement Income Strategies

Cash Flow Management Strategie...

Are you a "fiduciary"?

Yes

Aliases

Allan Jay Thompson | Allan Thompson | Allan J Thompson

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) THOMPSON WEALTH MANAGEMENT POSITION: Advisor NATURE: I am operating my wealth management practice under this DBA. INVESTMENT RELATED: Yes NUMBER OF HOURS: 150 SECURITIES TRADING HOURS: 120 START DATE: 08/14/2024 ADDRESS: 302 W. Orange St., Lancaster PA 17603 DESCRIPTION: All investment business is being done through Avantax Wealth Management. I am operating in the public under the name of Thompson Wealth Management.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Allan Jay Thompson Jr'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®

None

Experience

Current

September 5, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 302 W. Orange St., Lancaster, PA 17603

RIA

CRD#: 105644

LANCASTER, PA

Current

September 5, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 302 W Orange St, Lancaster, PA 17603

CRD#: 7461

ATLANTA, GA

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

California
(9/5/2025)

Pennsylvania
(9/5/2025)

IAR

Pennsylvania
(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

IAR

Series 66

Date: 10/25/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/23/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/10/2006

General Securities Principal 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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Allan J. Thompson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Allan Jay Thompson Jr's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/25/2005

SIE

Date: 10/1/2018

Series 7

Date: 8/23/2005

Series 24

Date: 4/10/2006

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

Contact information

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