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Tom Goetz

Tom Goetz

Commissioned Examiner

Followers of Tom Goetz251 followers
location of Tom GoetzOmaha, Nebraska, United States

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  • Timeline

  • About me

    Senior Auditor at Cetera Financial Group

  • Education

    • Archbishop Ryan High School, Omaha, NE

      -

    • University of Nebraska at Omaha

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      Bachelor’s Degree Banking, Business Finance and Insurance

  • Experience

    • Farm Credit Administration

      Jan 1986 - Jan 1991
      Commissioned Examiner

    • Mutual of Omaha

      Jan 1991 - Aug 2018

      I worked with Financial Advisors to develop investment and financial planning solutions for their clients. I provided investment product and business development training and assist Financial Advisors develop their financial planning skills. Responsible for researching, developing and maintaining all facets of Mutual of Omaha's RIA Operation from it's beginning in 2002. I completed all SEC filings, developed and maintained all compliance, operations, compensation and sales policies and procedures. Established and developed great relationships with third-party investment firms, allowing us to sell their fee-based investment products.

      • RIA Services Manager

        Jan 2011 - Aug 2018

      • RIA Operations Manager

        Jan 2002 - Jan 2011

      • Compliance Specialist

        Jan 1997 - Jan 2002

      • Division Office Support Consultant

        Jan 1995 - Jan 1997

      • Senior Accountant/Analyst

        Jan 1991 - Jan 1995

    • Cetera Financial Group

      Aug 2018 - now
      Senior Auditor

      Working with some of the top advisors and representatives in the country to ensure regulatory and corporate compliance. I work as part of an unbelievable audit team that provide great resources and support.

  • Licenses & Certifications

    • Fellow, Life Management Institute (FLMI)

    • Series 6, 7, 24, 26, 63 and 66 FINRA Registrations

  • Volunteer Experience

    • Booster Club Member

      Issued by Roncalli Catholic High School on Jan 2011
      Roncalli Catholic High SchoolAssociated with Tom Goetz

    • Board Member

      Issued by St. James/St. Elizabeth Ann Athletic Association on Jan 2004
      St. James/St. Elizabeth Ann Athletic AssociationAssociated with Tom Goetz

    • Board Member

      Issued by Maple Village Country Club on Jan 2016
      Maple Village Country ClubAssociated with Tom Goetz