Michael Tomczyk
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michael Tomczyk, who also goes by Michael Allen Tomczyk, Michael Jeffrey Tomczyk, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1982. Michael had worked at 11 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 5, 2014 - June 11, 2015
WHITAKER SECURITIES LLC
September 6, 2011 - October 24, 2013
BGC FINANCIAL, L.P.
January 23, 1997 - September 13, 2011
FIRST BROKERS SECURITIES LLC
June 21, 1993 - February 7, 1997
APEX CLEARING CORPORATION
July 15, 1991 - May 12, 1993
HERZOG, HEINE, GEDULD, LLC
May 29, 1990 - June 18, 1991
JJC SECURITIES CO., INC.
October 5, 1987 - May 29, 1990
JSC SECURITIES, INC.
March 20, 1987 - August 29, 1987
W.A. CAPITAL MARKETS
February 29, 1984 - February 18, 1987
WOLFE & HURST BOND BROKERS INC.
July 21, 1983 - October 6, 1983
BEVILL, BRESLER & SCHULMAN INCORPORATED
November 24, 1982 - July 25, 1983
HANAUER, STERN & COMPANY,INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
WHITAKER SECURITIES LLC
CRD#: 121465 / SEC#: , 8-65419
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NICOSIA, ROSALIE MARGARET | CHIEF COMPLIANCE OFFICER, CRCP | 4239124 |
Disclosures
| Regulatory Event | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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