PT
Paul R. Thompson
CETERA INVESTMENT ADVISERS LLC
OAKLAND, NJ 07436
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CRD#: 705587
PT
Professional summary
Paul Robert Thompson is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Oakland, New Jersey and CETERA FINANCIAL SPECIALISTS LLC located in Oakland, New Jersey.
Paul is registered as an IAR (Investment Advisor Representative) and 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"?
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)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) - RIA
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 INVESTMENT ADVISERS LLC
Office #1: 169 Ramapo Valley Road Suite Ml-2, Oakland, NJ 07436RIA
CRD#: 105644
OAKLAND, NJ
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
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
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(6/15/2011)
RR
Arizona(10/16/2006)
RR
California(10/24/2005)
RR
Connecticut(1/17/2006)
RR
Delaware(11/12/2019)
RR
Florida(10/24/2005)
RR
Georgia(1/11/2018)
RR
Maryland(9/24/2012)
RR
Massachusetts(10/1/2021)
RR
Michigan(10/24/2024)
RR
Missouri(4/4/2016)
RR
New Jersey(10/24/2005)
IAR
New Jersey(10/24/2005)
RR
New York(10/24/2005)
RR
North Carolina(10/24/2005)
RR
Ohio(8/22/2018)
RR
Pennsylvania(3/30/2006)
RR
Rhode Island(5/8/2015)
RR
South Carolina(8/31/2006)
RR
Tennessee(1/29/2016)
RR
Texas(1/17/2006)
IAR
Texas(4/6/2018)
RR
Vermont(6/15/2011)
RR
Virginia(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
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
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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.
