GT
Gary S. Thompson
CETERA INVESTMENT ADVISERS LLC
JEFFERSON, WI 53549
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CRD#: 2898386
GT
Professional summary
Gary Steven Thompson is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Jefferson, Wisconsin and CETERA FINANCIAL SPECIALISTS LLC located in Jefferson, Wisconsin.
Gary is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Gary has worked at 3 firms and has passed the Series 65, 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)FOUR FORE FORTUNE, INVESTMENT CLUB, INV REL, 1115 WENZEL CT, JEFFERSON, WI 53549, PARTNER, 25% OWNERSHIP WITH 3 OTHER INDIVIDUALS, SINCE 11/2000. 2) THOMPSON FINANCIAL MANAGEMENT, DBA NAME FOR INVESTMENT PRACTICE - INV RELATED: 3)ASHLEYCHLOE PROPERTIES LLC, NOT INVEST REL, 219 S MAIN ST, JEFFERSON, WI, 53549, RENTAL REAL ESTATE, START 10/01/01, 1HR/WK NOT DURING TRADING HRS., OWNER. 3) NAME OF OTHER BUSINESS: THOMPSON & COMPANY, S.C.; INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: CPA FIRM; START DATE: 10/2001; POSITION/TITLE/RELATIONSHIP: PRESIDENT / CPA; APX NUMBER OF HOURS PER WEEK: 34; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: PERFORM TAX AND ACCOUNTING TASKS WITH LIMITED POWER OF ATTORNEY FOR IRS, BILL PAY SERVICES, AND OTHER TAX MATTERS AND BUDGET COUNSELING; 4) NAME OF OTHER BUSINESS: JON GREEN FAMILY AUTO LLC; INVESTMENT RELATED: NO; ADDRESS: 1234 GATEWAY DR, MILTON, WI 53563; NATURE OF BUSINESS: AUTOMOBILE SALES & SERVICE; START DATE: 6/2024; POSITION/TITLE/RELATIONSHIP: CONTROLLER; APX NUMBER OF HOURS PER WEEK: 30; APX NUMBER OF HOURS DURING TRADING HOURS: 10; BRIEF DESCRIPTION OF DUTIES: ACCOUNTING SERVICES; 5) NAME OF OTHER BUSINESS: JEFFERSON HOUSING AUTHORITY, INVESTMENT RELATED: NO, ADDRESS: 431 N ELIZABETH AVE, JEFFERSON, WI 53549, NATURE OF BUSINESS: NON-PROFIT, START DATE: 04/2023, POSITION/TITLE/RELATIONSHIP: BOARD MEMBER, APX NUMBER OF HOURS PER WEEK: .25, APX NUMBER OF HOURS DURING TRADING HOURS: .25, BRIEF DESCRIPTION OF DUTIES: WORK ON THE BOARD WITH 4 OTHER BOARD MEMBERS;
CRS (Client Relationship Summary) - RIA
Click below to view Gary Steven Thompson'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
December 17, 2004 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 219 S. Main Street, Jefferson, WI 53549RIA
CRD#: 105644
JEFFERSON, WI
Current
June 30, 2004 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 219 South Main Street, Jefferson, WI 53549BD
CRD#: 10358
Jefferson, WI
Past
June 12, 1997 - June 30, 2004
HOCHMAN & BAKER SECURITIES, INC.
BD
CRD#: 19949
STAMFORD, 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
Illinois(11/4/2015)
RR
Minnesota(12/2/2022)
RR
Wisconsin(6/30/2004)
IAR
Wisconsin(12/17/2004)
Exams
State Security Law Exam
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.
