TW
Thomas G. Whiteing
CETERA INVESTMENT ADVISERS LLC
OMAHA, NE 68144
Some features on this profile are disabled
CRD#: 5130516
TW
Professional summary
Thomas George Whiteing is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Omaha, Nebraska and CETERA WEALTH SERVICES, LLC located in Omaha, Nebraska.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Thomas has worked at 3 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) CO-OP INSURANCE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 02/01/2007 ADDRESS: , Omaha NE , United States DESCRIPTION: Agent/Broker 2) NORTH CENTRAL DI POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 12/01/2017 ADDRESS: , Lakeville MN , United States DESCRIPTION: Agent/Broker 3) R.F. BROKERAGE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 02/01/2007 ADDRESS: , St Louis MO , United States DESCRIPTION: Agent/Broker 4) ANGELS AMONG US BOARD POSITION: Advisory Board NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 1 START DATE: 02/16/2022 ADDRESS: 3858 Jones, Suite A, Omaha NE 68105, United States DESCRIPTION: Asked to be a member of 13-person advisory board, charged with the task of expanding the exposure and impact the organization has in our local community. I will be listed on the organization's website as a board member. Recently asked to serve as Treasurer for the upcoming year. Duties to include review of the organization's investment account with executive director to ensure we remain within investment policy as well as monthly review of the financials with executive director. Then reporting at the board meeting.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas George Whiteing'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
August 10, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 12801 Pierce St #100, Omaha, NE 68144RIA
CRD#: 105644
OMAHA, NE
Current
August 10, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 12801 Pierce Street Suite 300, Omaha, NE 68144BD
CRD#: 13572
Omaha, NE
Past
March 5, 2007 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
OMAHA, NE
Past
January 31, 2007 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
OMAHA, NE
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
Arizona(2/6/2024)
RR
California(8/10/2023)
RR
Colorado(8/10/2023)
RR
Florida(8/11/2023)
RR
Idaho(8/10/2023)
RR
Illinois(8/10/2023)
RR
Indiana(8/10/2023)
RR
Iowa(8/10/2023)
RR
Kansas(8/10/2023)
RR
Louisiana(8/10/2023)
RR
Michigan(8/10/2023)
RR
Minnesota(8/10/2023)
RR
Missouri(8/10/2023)
RR
Nebraska(8/10/2023)
IAR
Nebraska(8/10/2023)
RR
New Mexico(8/10/2023)
RR
Oklahoma(8/10/2023)
RR
South Carolina(8/10/2023)
RR
South Dakota(8/10/2023)
RR
Texas(8/10/2023)
IAR
Texas(8/10/2023)
RR
Utah(8/10/2023)
RR
Washington(8/10/2023)
RR
Wisconsin(8/10/2023)
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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Omaha, NE 68144TRUST BUT VERIFY
Monitor Thomas Whiteing
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
