Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Baumgartner is a financial advisor with over 49 years of experience in the financial services industry. He is currently registered with Cetera Investment Advisers LLC, which provides financial planning and investment management services to individual and institutional clients. Thomas has also held previous positions at John Hancock Distributors, Inc., John Hancock Mutual Life Insurance Company, Sun Investment Services Company and Philadelphia Life Asset Planning Company. Thomas holds Series 7TO, SIE and Series 1 licenses. He has also earned the Chartered Financial Consultant designation.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
MN
06/29/2023 - Present
Cetera Investment Advisers LLC (ST. PAUL MN)
MA
03/07/1996 - 11/14/1996
JOHN HANCOCK DISTRIBUTORS, INC. (BOSTON MA)
MA
03/07/1996 - 11/14/1996
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY (BOSTON MA)
MA
12/09/1994 - 02/29/1996
SUN INVESTMENT SERVICES COMPANY (WELLESLEY HILLS MA)
IN
02/14/1974 - 11/22/1994
PHILADELPHIA LIFE ASSET PLANNING COMPANY (CARMEL IN)
BC
Issued 03/19/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/07/1974
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
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