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THOMAS JOSEPH SCHOETTLE JR
THOMAS JOSEPH JR SCHOETTLE, TOM SCHOETTLE JR
CRD#: 2470033
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 1010 TURQUOISE ST STE 255
SAN DIEGO, CA 92109
SAN DIEGO, CA 92109
CETERA ADVISOR NETWORKS LLCCRD#: 13572 1010 TURQUOISE ST STE 255
SAN DIEGO, CA 92109
SAN DIEGO, CA 92109
0
Disclosures
31
Years of Experience
View By:
State Registrations
B
Arizona 5/15/2014
B
Nevada 9/19/2018
B
Arkansas 9/12/2003
B
New Jersey 2/3/2017
B
California 9/20/1996
B
New Mexico 1/2/2015
IA
California 6/29/2023
B
New York 3/29/2024
B
Colorado 1/4/2006
B
North Carolina 1/29/2016
B
Florida 1/30/2007
B
Oregon 5/26/2015
B
Georgia 4/25/2024
B
Pennsylvania 9/12/2019
B
Illinois 8/26/2024
B
South Carolina 1/5/2021
B
Indiana 9/20/1996
B
Tennessee 9/19/2022
B
Kentucky 11/29/2016
B
Texas 1/9/2012
B
Maryland 9/12/2003
IA
Texas 6/29/2023
B
Massachusetts 7/12/2016
B
Virginia 6/19/2012
B
Minnesota 3/2/2011
B
Washington 1/2/2009
SRO Registrations
B
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IA
Registered with this firm since 6/29/2023
B
Registered with this firm since 9/20/1996
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/08/1997 - 06/29/2023 | EL SEGUNDO, CA | |
IA | 07/26/1995 - 12/31/2010 | LA JOLLA, CA | |
B | 04/07/1994 - 09/17/1996 | WINDSOR, CT |
LA JOLLA, CA
07/26/1995 - 12/31/2010
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.