Thomas BaumgartnerCRD Number: 15181
Current Firm: Cetera Advisor Networks LLC
Thomas Baumgartner (CRD# 15181) is an Investment Advisor Representative working at Cetera Advisor Networks LLC in Saint Paul, MN and has over 26 years of experience in the finance industry.
Thrivent Advisor Network, LLC
Wells Fargo Clearing Services, LLC
Abens Financial Services Inc.
|Cetera Advisor Networks LLC||El Segundo, CA||Jan 2013 - Current||9|
|Self||St Paul, MN||May 1979 - Current||43|
|Self Actor||Monticello, MN||May 1974 - Current||48|
|Self-employed Life Insurance Sales||St. Paul, MN||Jan 1973 - Current||49|
|Financial Network Investment Corporation||Minneapolis, MN||Oct 1996 - Dec 2012||16|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Mar 1996|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved.Get Details on the FINRA Advisor Check site
Total Assets Under Management50,296MILLIONS
Total Number of Accounts174,993ACCOUNTS
Average Account Value$287,416
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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