Thomas M. Kettering
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 Michael Kettering, who also goes by Tom Kettering, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1984. Thomas had worked at 13 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 14, 2012 - May 31, 2013
INVESTACORP ADVISORY SERVICES INC
February 13, 2012 - May 31, 2013
INVESTACORP, INC.
November 20, 2007 - February 12, 2010
PPA ADVISORY SERVICES, INC.
August 4, 2003 - February 12, 2010
PPA INVESTMENTS, INC.
June 15, 2000 - March 14, 2003
IDS LIFE INSURANCE COMPANY
June 15, 2000 - March 14, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
May 13, 1999 - May 12, 2000
HIMCO DISTRIBUTION SERVICES COMPANY
April 14, 1997 - March 15, 1999
OSAIC WEALTH, INC.
February 2, 1995 - May 8, 1997
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
February 2, 1995 - May 8, 1997
OSAIC FA, INC.
February 12, 1991 - October 17, 1994
THE GREAT-WEST LIFE ASSURANCE COMPANY
March 6, 1986 - February 13, 1991
EMPOWER FINANCIAL SERVICES, INC.
April 13, 1984 - August 20, 1985
NATIONWIDE INVESTMENT SERVICES CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
INVESTACORP ADVISORY SERVICES INC
CRD#: 109011 / SEC#: 801-57738
Contact information
Red Flags
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