TW
Thomas Wallach
CETERA INVESTMENT ADVISERS LLC
CHESTER, NJ
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CRD#: 4023524
TW
Professional summary
Thomas Wallach, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Chester, New Jersey and CETERA FINANCIAL SPECIALISTS LLC located in Chester, New Jersey.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. 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
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) WALLACH FINANCIAL SERVICES, LLC, NOT INVESTMENT RELATED-TAX PREPARATION - ANNUAL PLANNING-OWNER-SD:1/99-TAX PREP. & TAX PLAN.-20 HR WORK WEEK-NO PARTNERSHIP. - FOR TAX RELATED ITEMS - DEDUCTIONS AND CREDITS - SOLE PROPRIETOR 66 MELROSE DRIVE, CHESTER, NJ 07930; 2) NAME OF OTHER BUSINESS: CHI PHI FRATERNITY ; INVESTMENT RELATED: NO ADDRESS: 95 COLLEGE AVENUE NEW BRUNSICK, NJ 08901 ; NATURE OF BUSINESS: FRATERNITY ; START DATE: 3/2020 POSITION/TITLE/RELATIONSHIP: VICE PRESIDENT ; APX NUMBER OF HOURS PER WEEK: 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1 ; BRIEF DESCRIPTION OF DUTIES: MONITOR MEMBERS IN REGARDS TO ELIGIBILITY, ATTENDANCE, AND DEVELOPMENT. NO FINANCIAL RESPONSIBILITIES ; 3) WALLACH FINANCIAL SERVICES, LLC; DBA NAME FOR INVESTMENT PRACTICE - INV. RELATED; CHESTER, NJ; TAX PRACTICE/INVESTMENT SERVICES; OWNER; SINCE 11/2012; 80HRS/MONTH; 40 HOURS/MONTH DURING SECURITIES TRADING HOURS: 4) NAME OF OTHER BUSINESS: WALLACH FINANCIAL SERVICES, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: PREPARING TAX RETURNS AND GIVING TAX ADVICE START DATE: 1999 APX NUMBER OF HOURS PER WEEK: 30 APX NUMBER OF TRADING HOURS PER WEEK: 25 POSITION/TITLE/RELATIONSHIP: 100% OWNER BRIEF DESCRIPTION OF DUTIES: PREPARING TAX RETURNS & GIVING TAX ADVICE 5) NAME OF OTHER BUSINESS: HUNTERDON PREPARATORY SCHOOL; INVESTMENT RELATED: NO ; ADDRESS: 11 SPENCER LANE ANNANDALE, NJ 08801; NATURE OF BUSINESS: BOARD; START DATE: 07/2024; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: VARIES; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: ESTABLISH STRATEGIC PLAN, APPROVE ANNUAL BUDGET, TUITION RATE, HANDBOOK, BENEFITS AND STUDENT COST, FINANCIAL DECISIONS NOT MADE BY EXEC DIRECTOR;
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Wallach'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: 2004
Experience
Current
October 24, 2005 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
CHESTER, NJ
Current
October 24, 2005 - Present
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
CHESTER, NJ
Past
July 2, 2002 - October 24, 2005
C.J.M. ASSET MANAGEMENT, LLC
RIA
CRD#: 111302
POMPTON LAKES, NJ
Past
November 9, 1999 - October 24, 2005
C. J. M. PLANNING CORP.
BD
CRD#: 5698
POMPTON LAKES, NJ
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
Florida(3/28/2007)
RR
New Jersey(10/24/2005)
IAR
New Jersey(10/24/2005)
RR
New York(10/24/2005)
RR
Virginia(10/24/2005)
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.
