Thomas M. Aretz
Professional summary
Thomas Michael Aretz was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Thomas is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Thomas had worked at 6 firms, which includes KOVACK SECURITIES INC., INTERFIRST CAPITAL CORPORATION, SAN CLEMENTE SECURITIES INC., HACKETT ASSOCIATES INC., NORTH AMERICAN MANAGEMENT INC., PFS INVESTMENTS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 14, 2000 - April 14, 2009
KOVACK SECURITIES INC.
April 10, 2000 - July 20, 2000
INTERFIRST CAPITAL CORPORATION
December 14, 1999 - April 10, 2000
SAN CLEMENTE SECURITIES, INC.
October 13, 1992 - September 20, 1993
HACKETT ASSOCIATES, INC.
May 8, 1992 - December 19, 1992
NORTH AMERICAN MANAGEMENT, INC.
March 1, 1983 - August 14, 1991
PFS INVESTMENTS INC.
State Registrations and Notice Filings
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Exams
Current Firm
KOVACK SECURITIES INC.
CRD#: 44848 / SEC#: , 8-50847
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 5 |
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