• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
AMY RACHEL THOMPSON
AMY RACHEL WEISS
CRD#: 4326010
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 214 RANDHURST VILLAGE DR
MOUNT PROSPECT, IL 60056
CETERA FINANCIAL SPECIALISTS LLCCRD#: 10358 214 RANDHURST VILLAGE DR
MOUNT PROSPECT, IL 60056
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2004 - Present (20 years)BHOCHMAN & BAKER SECURITIES, INC. (CRD# 19949)2001 - 2004 (3 years)IAHOCHMAN & BAKER INVESTMENT ADV... (CRD# 105560)2002 - 2004 (2 years)
License(s)

State Registrations

B
California 9/14/2006

IA
Illinois 7/2/2004

B
District of Columbia 10/7/2011

B
Indiana 10/13/2023

B
Florida 10/31/2019

B
New York 1/22/2020

B
Georgia 6/30/2004

B
Texas 2/25/2020

B
Illinois 6/30/2004

IA
Texas 2/27/2023

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
214 RANDHURST VILLAGE DR, MOUNT PROSPECT, IL 60056
Registered with this firm since 7/2/2004

B
CETERA FINANCIAL SPECIALISTS LLC (CRD#:10358)
214 RANDHURST VILLAGE DR, MOUNT PROSPECT, IL 60056
Registered with this firm since 6/30/2004

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
05/10/2002 - 07/02/2004 HOCHMAN & BAKER INVESTMENT ADVISORY SERVICES, INC. (CRD#:105560) ARLINGTON HEIGHTS, IL
B
01/17/2001 - 06/30/2004 HOCHMAN & BAKER SECURITIES, INC. (CRD#:19949) STAMFORD, CT
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
Disclosures
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.