TG
Theodore C. Grooms
CETERA INVESTMENT ADVISERS LLC
CASPER, WY 82601
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CRD#: 5767798
TG
Professional summary
Theodore Clarence Grooms, who also goes by Ted C Grooms, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Casper, Wyoming and CETERA WEALTH SERVICES, LLC located in Casper, Wyoming.
Theodore is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Theodore has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ted C Grooms
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)FIRST WESTERN FEDERAL SAVINGS BANK POSITION: OWNER NATURE: BANKING INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 1 START DATE: 05/01/1984 ADDRESS: Rapid City SD , United States DESCRIPTION: Banking 2) HORIZON INVESTMENTS LIMITED POSITION: OWNER NATURE: OIL AND GAS ROYALTY INTEREST INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/1985 ADDRESS: Casper WY , United States DESCRIPTION: Oil and gas royalty interest 3) LOAN CENTER, LLC POSITION: OWNER NATURE: LOAN INVESTMENT INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2009 ADDRESS: Rapid City SD , United States DESCRIPTION: Personal investment in loans 4) THE SPIRIT OF STRONG PRINCIPLE TRUST POSITION: Trust Protector NATURE: Trust created for the benefit of Ann Christine McKenzie INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 10/29/2012 ADDRESS: 141 S. Center Ste 404, Casper WY 82601, United States DESCRIPTION: The trust is managed by a trustee (Wyoming Trust Company) and utilizes the investment service of another financial advisor. My role is to be available to review the activity of both the Trustee and the Advisor and the only power that I have is to be able to replace either if their performance and support is inadequate. 5) G&H FINANCIAL SERVICES, LLC POSITION: Financial Advisor NATURE: Wealth Management Services INVESTMENT RELATED: No NUMBER OF HOURS: 25 SECURITIES TRADING HOURS: 25 START DATE: 07/02/2018 ADDRESS: 555 South Wolcott, Casper WY 82601, United States DESCRIPTION: Financial Advisor Duties 6) THE TRUE NORTH TRUST POSITION: Trust Protector NATURE: Trust created for the benefit of David McKenzie INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 3 START DATE: 10/30/2012 ADDRESS: 141 S. Center Ste 404, Cassper WY 82601, United States DESCRIPTION: The Trust is managed by a trustee (Wyoming Trust Company) and utilizes the investment service of another financial advisor. My role is to be available to review the activity of both the Trustee and the Advisor and the only power I have is to be able to replace either if their performance and support is inadequate. 7) WYOMING TRUST CO. POSITION: Board of Directors, Chair of Examining Committee NATURE: Financial institution specializing in trust administration. Not directly involved in trading securities or making active investments of trust assets. INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 8 START DATE: 07/09/2010 ADDRESS: 141 South Center Street, Suite 404, Casper WY 82601, United States DESCRIPTION: Stockholder, Board of Directors, Chair of Examining Committee
CRS (Client Relationship Summary) - RIA
Click below to view Theodore Clarence Grooms'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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 555 S. Wolcott Suite 100, Casper, WY 82601RIA
CRD#: 105644
CASPER, WY
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 555 S. Wolcott Suite 100, Casper, WY 82601BD
CRD#: 13572
CASPER, WY
Past
October 25, 2019 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
CASPER, WY
Past
October 25, 2019 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
CASPER, WY
Past
October 18, 2018 - October 25, 2019
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
CASPER, WY
Past
May 10, 2010 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
CASPER, WY
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
Minnesota(9/5/2025)
RR
New York(9/5/2025)
RR
Wyoming(9/5/2025)
IAR
Wyoming(9/5/2025)
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
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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.
