PT
Paul R. Thompson
CETERA FINANCIAL SPECIALISTS LLC
Oakland, NJ 07436
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CRD#: 705587
PT
Professional summary
Paul Robert Thompson is a registered financial professional currently at CETERA FINANCIAL SPECIALISTS LLC located in Oakland, New Jersey.
Paul is registered as a RR (Registered Representative) and started their career in finance in 1980. Paul has worked at 4 firms and has passed the Series 65, Series 63, Series 22TO, Series 6TO, SIE, Series 7, Series 1, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
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)THOMPSON & THOMPSON CONSULTING INC, DBA FOR INVESTMENT PRACTICE - INV RELATED: 2)AUTHOR OF BOOK; NOT INVESTMENT REL; SAME AS REGISTERED ADDRESS; BOOK PUBLICATION; START DATE 8/1/14; 1 TO 2 HOURS PER WEEK NOT DURING TRADING HOURS; AUTHOR OF BOOK WITH PROFITS GOING TO VETERANS ORGANIZATION. 3) NAME OF OTHER BUSINESS: PARAMUS VETERAN'S NURSING HOME, INVESTMENT RELATED: NO, ADDRESS: 1 VETERANS WAY, PARAMUS, NJ 07652, NATURE OF BUSINESS: NON-PROFIT, START DATE: 10/2024 POSITION/TITLE/RELATIONSHIP: ELECTED BOARD MEMBER, APX NUMBER OF HOURS PER WEEK: 1, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: VOLUNTEERING TO OVERSEE THE MANAGEMENT OF THE VETERAN'S NURSING HOME;
CRS (Client Relationship Summary) - BD
Click below to view Paul Robert 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®
NoneExperience
Current
October 24, 2005 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 169 Ramapo Valley Road Suite Ml-2, Oakland, NJ 07436BD
CRD#: 10358
Oakland, NJ
Past
October 24, 2005 - December 31, 2025
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
OAKLAND, NJ
Past
May 29, 2002 - October 24, 2005
C.J.M. ASSET MANAGEMENT, LLC
RIA
CRD#: 111302
POMPTON LAKES, NJ
Past
March 10, 1980 - October 24, 2005
C. J. M. PLANNING CORP.
BD
CRD#: 5698
POMPTON LAKES, NJ
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
New Jersey(10/24/2005)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 3/3/1980
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CF
CETERA FINANCIAL SPECIALISTS LLC
CETERA FINANCIAL BROKERAGE SERVICES | TERRA SECURITIES CORPORATION | GENWORTH FINANCIAL SECURITIES CORPORATION | GENWORTH FINANCIAL BROKERAGE SERVICES | CETERA FINANCIAL SPECIALISTS LLC
CRD#: 10358 / SEC#: , 8-27082
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
1450 American Lane 6th Floor, Suite #650, Schaumburg, IL 60173
Mailing Address
1450 American Lane 6th Floor, Suite #650, Schaumburg, IL 60173
Phone number
(888) 528-2987
Established
Delaware since 10/31/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BANKS, ELAYNE CAMILLE | VICE PRESIDENT | 3070202 |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | CHIEF COMPLIANCE OFFICER | 4710068 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| KRUEGER, RONALD GEORGE | MANAGER, CHIEF EXECUTIVE OFFICER AND PRESIDENT | 2651416 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| ROTHENBERG, JON HOWARD | VICE PRESIDENT | 2737327 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
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.
