Thomas C. Kocherhans
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.
Thomas Croft Kocherhans, who also goes by Tom Kocherhans, Thomas Croft Kocherhaus, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1983. Thomas had worked at 4 firms and has passed the Series 63, Series 3 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 26, 1992 - February 28, 1995
TRIQUEST FINANCIAL, INC.
May 14, 1990 - March 5, 1992
G.L. LEAVITT FINANCIAL GROUP
June 30, 1988 - April 4, 1990
G.L. LEAVITT FINANCIAL GROUP
November 30, 1987 - May 21, 1988
PIPER SANDLER & CO.
January 26, 1983 - December 2, 1987
E. F. HUTTON & COMPANY INC
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
TRIQUEST FINANCIAL, INC.
CRD#: 6596 / SEC#: , 8-17701
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
