Thomas J. Walling

CETERA INVESTMENT ADVISERS LLC

ALBANY, NY

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CRD#: 4092476

Professional summary

Thomas Joseph Walling, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Albany, New York and CETERA WEALTH SERVICES, LLC located in Albany, New York.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Thomas has worked at 7 firms and has passed the Series 63, SIE, Series 7 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) INDEPENDENT INSURANCE AGENT (DISABILITY, LIFE/ACCIDENT/HEALTH, LONG-TERM CARE) 15 SECURITIES TRADING HOURS WEEKLY, 0 NON SECURITIES TRADING HOURS WEEKLY, START DATE 11/2009 (2) COLUMNIST FOR COMMUNITY NEWSLETTER, ALBANY NY 2 SECURITIES TRADING HOURS WEEKLY, 2 NON SECURITIES TRADING HOURS WEEKLY, START DATE 6/2004

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Joseph Walling'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®

CFP^®

Certified Financial Planner

Experience

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #3: 5 Computer Drive West, Albany, NY 12205

RIA

CRD#: 105644

ALBANY, NY

Current

September 3, 2013 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 5 Computer Drive West Suite 100-02, Albany, NY 12205

CRD#: 13572

ALBANY, NY

Past

March 31, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

April 29, 2009 - September 3, 2013

TOWER SQUARE SECURITIES, INC.

CRD#: 833

ALBANY, NY

Past

February 26, 2008 - May 1, 2009

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

LATHAM, NY

Past

October 10, 2003 - February 22, 2008

TOWER SQUARE SECURITIES, INC.

CRD#: 833

ALBANY, NY

Past

January 3, 2002 - September 15, 2003

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

PLANTATION, FL

Past

January 3, 2002 - September 15, 2003

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

January 3, 2002 - September 15, 2003

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

January 12, 2000 - December 11, 2001

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

January 12, 2000 - December 11, 2001

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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

Connecticut
(9/3/2013)

Florida
(5/6/2019)

Georgia
(9/11/2025)

IAR

Georgia
(10/24/2025)

Massachusetts
(9/3/2013)

New Hampshire
(9/3/2013)

New Jersey
(1/3/2023)

New York
(9/3/2013)

IAR

New York
(6/29/2023)

North Carolina
(9/3/2013)

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

Series 63

Date: 1/18/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/11/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/20/2009

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.

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Thomas J. Walling

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Joseph Walling's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

TOWER SQUARE SECURITIES, INC.

MSI FINANCIAL SERVICES, INC.

TOWER SQUARE SECURITIES, INC.

MSI FINANCIAL SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/18/2000

SIE

Date: 10/1/2018

Series 7

Date: 1/11/2000

Series 24

Date: 2/20/2009

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

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