CT
Christopher Thompson
CETERA INVESTMENT ADVISERS LLC
CROMWELL, CT 06416
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CRD#: 5124352
CT
Professional summary
Christopher Thompson, CFA is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Cromwell, Connecticut and CETERA WEALTH SERVICES, LLC located in Cromwell, Connecticut.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Christopher has worked at 4 firms and has passed the Series 65, Series 63, 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.INDEPENDENT INSURANCE AGENT DISABILITY, FIXED ANNUITIES, LIFE/ACCIDENT/HEALTH FOR 10HRS/WK & 5HRS EVENING & WKENDS SINCE 2007 2.INDEPDENDENT INSURANCE AGENT LIFE/ACCIDENT/HEALTH FOR 1HR/WK & 1HR EVENING & WKENDS SINCE 2008 ADVISOR - GRILLO FINANCIAL SERVICES - 2 SEC HR PER WEEK SINCE 01/2013 3. NAME OF OTHER BUSINESS: RELIANCE WEALTH MANAGEMENT; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: DBA FOR FINANCIAL SERVICES & INSURANCE; START DATE: 04/2019; POSITION/TITLE/RELATIONSHIP: PRESIDENT / OWNER / MANAGING DIRECTOR; APX NUMBER OF HOURS PER WEEK: 60; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES & INSURANCE; 4. NAME OF OTHER BUSINESS: CMAK SANDY HOOK MEMORIAL FOUNDATION; INVESTMENT RELATED: NO; ADDRESS: 6 BENETTS BRIDGE RD, SANDY HOOK, CT 06489; NATURE OF BUSINESS: FOUNDATION; START DATE: 5/2024; POSITION/TITLE/RELATIONSHIP: FINANCE COMMITTEE MEMBER; APX NUMBER OF HOURS PER WEEK: 1.5; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: REVIEW THE OVERALL BUDGET, EXPENSES, AND FUNDRAISING EFFORTS; 5. NAME OF OTHER BUSINESS: N/A; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: NOTARY PUBLIC; START DATE: 8/2022; POSITION/TITLE/RELATIONSHIP: NOTARY PUBLIC; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: PROVIDES NOTARY SERVICES FOR CLIENTS THAT REQUEST IT;
CRS (Client Relationship Summary) - RIA
Click below to view Christopher 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®
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 154 West Street Suite A, Cromwell, CT 06416RIA
CRD#: 105644
CROMWELL, CT
Current
September 3, 2013 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 154 West Street Suite A, Cromwell, CT 06416BD
CRD#: 13572
Cromwell, CT
Past
September 3, 2013 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
March 5, 2008 - September 3, 2013
TOWER SQUARE SECURITIES, INC.
RIA
CRD#: 833
CROMWELL, CT
Past
December 7, 2007 - September 3, 2013
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
CROMWELL, CT
Past
May 23, 2007 - December 18, 2007
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
WETHERSFIELD, CT
Past
June 30, 2006 - May 25, 2007
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
UNIONVILLE, 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
Alabama(7/24/2023)
RR
Arizona(3/8/2021)
RR
California(1/12/2016)
RR
Connecticut(9/3/2013)
IAR
Connecticut(6/29/2023)
RR
District of Columbia(5/18/2023)
RR
Florida(9/3/2013)
RR
Illinois(8/29/2024)
RR
Indiana(7/1/2020)
RR
Maryland(1/2/2019)
RR
Massachusetts(9/3/2013)
RR
Michigan(3/7/2022)
RR
New Hampshire(1/18/2017)
RR
New Jersey(11/16/2022)
RR
New York(7/31/2014)
RR
North Carolina(1/4/2017)
RR
Ohio(4/30/2021)
RR
Oklahoma(4/5/2017)
RR
Pennsylvania(1/4/2017)
RR
Rhode Island(9/3/2013)
RR
South Carolina(1/18/2017)
RR
Tennessee(1/24/2025)
RR
Texas(3/14/2022)
IAR
Texas(6/29/2023)
RR
Vermont(3/20/2015)
RR
Virginia(10/2/2017)
RR
Washington(3/1/2024)
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.
