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The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

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Thomas Johnson Paup JR

Thomas J. Paup

CETERA INVESTMENT ADVISERS
YORK, PA 17402
Some features on this profile are disabled
CRD#: 5494162
Thomas Johnson Paup JR

Professional summary

Thomas Johnson Paup JR, AIF®, CFP®, who also goes by Thomas Johnson Paup, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in York, Pennsylvania and CETERA WEALTH SERVICES, LLC located in Carlisle, Pennsylvania.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Thomas has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Thomas Johnson Paup

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Johnson Paup JR'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®
AIF®

Accredited Investment Fiduciary

CFP®

Certified Financial Planner

Start date: 2021

Experience

Current

September 5, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 294 Pleasant Acre Rd Suite 201, York, PA 17402Office #2: 35 E High Street Ste 102, Carlisle, PA 17013
RIA
CRD#: 105644
YORK, PA
Current

September 5, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 35 E. High Street Ste 102, Carlisle, PA 17013Office #2: 294 Pleasant Acre Rd, York, PA 17402
BD
CRD#: 13572
Carlisle, PA
Past

July 28, 2017 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA
CRD#: 104556
Carlisle, PA
Past

July 28, 2017 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
Carlisle, PA
Past

February 24, 2012 - July 31, 2017

SPC

RIA
CRD#: 110692
Carlisle, PA
Past

February 16, 2012 - July 31, 2017

SIGMA FINANCIAL CORPORATION

BD
CRD#: 14303
Carlisle, PA
Past

May 7, 2008 - February 17, 2012

EDWARD JONES

RIA
CRD#: 250
DEXTER, MI
Past

April 11, 2008 - February 17, 2012

EDWARD JONES

BD
CRD#: 250
DEXTER, MI

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
Alaska
(9/5/2025)
RR
Delaware
(9/5/2025)
RR
Florida
(9/5/2025)
RR
Illinois
(9/18/2025)
RR
Maryland
(9/5/2025)
RR
Massachusetts
(9/5/2025)
RR
Michigan
(9/5/2025)
RR
New York
(9/5/2025)
RR
North Carolina
(9/5/2025)
RR
Ohio
(9/5/2025)
RR
Oregon
(9/5/2025)
RR
Pennsylvania
(9/5/2025)
IAR
Pennsylvania
(9/5/2025)
RR
South Carolina
(9/5/2025)
RR
Utah
(9/5/2025)
RR
Virginia
(9/5/2025)
RR
Washington
(9/23/2025)
RR
West Virginia
(9/5/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/23/2008
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/10/2008
General Securities Representative Examination
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)
PREMIUM
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644York, PA 17402

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