TO
Timothy M. Ohm
CETERA INVESTMENT ADVISERS LLC
HANOVER, PA 17331
Some features on this profile are disabled
CRD#: 4454337
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Professional summary
Timothy Michael Ohm, who also goes by Tim Ohm, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Hanover, Pennsylvania and CETERA WEALTH SERVICES, LLC located in Hanover, Pennsylvania.
Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Timothy has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tim Ohm
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. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 09/2022; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 5; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, ANNUITIES AND LONG-TERM CARE; 2. NAME OF OTHER BUSINESS: MILLER BROWN OHM & ASSOCIATES; INVESTMENT RELATED: NO; ADDRESS: 335 MAIN STREET, MCSHERRY TOWN, PA 17344 NATURE OF BUSINESS: TAX PREPARATION AND PAYROLL PREPARATION; START DATE: 05/2007; POSITION/TITLE/RELATIONSHIP: PRESIDENT / OWNER / CPA; APX NUMBER OF HOURS PER WEEK: 30; APX NUMBER OF HOURS DURING TRADING HOURS: 30; BRIEF DESCRIPTION OF DUTIES: TAX AND PAYROLL PREPARATION; 3. NAME OF OTHER BUSINESS: RIGGLE WEALTH GROUP; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 09/2022; POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR; APX NUMBER OF HOURS PER WEEK: 20; APX NUMBER OF HOURS DURING TRADING HOURS: 20; BRIEF DESCRIPTION OF DUTIES: INVESTMENT AND ADVISORY SERVICES AND FINANCIAL PLANNING;
CRS (Client Relationship Summary) - RIA
Click below to view Timothy Michael Ohm'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
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 100 Filbert St, Hanover, PA 17331Office #2: 252 Corsano Drive, Nokomis, FL 34275RIA
CRD#: 105644
HANOVER, PA
Current
September 27, 2022 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 100 Filbert St, Hanover, PA 17331BD
CRD#: 13572
Hanover, PA
Past
October 5, 2022 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
November 5, 2004 - January 18, 2023
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
YORK, PA
Past
June 9, 2004 - January 18, 2023
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
YORK, PA
Past
September 25, 2001 - September 15, 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
Florida(9/27/2022)
IAR
Florida(4/19/2024)
RR
Maryland(9/27/2022)
RR
North Carolina(1/2/2025)
RR
Ohio(9/29/2022)
RR
Pennsylvania(9/27/2022)
IAR
Pennsylvania(6/29/2023)
RR
South Carolina(1/2/2025)
RR
Virginia(9/27/2022)
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.
