Thomas E. Wojczak
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 Edward Wojczak, who also goes by Thomas Edward Wojczak Jr, Thomas Edward Wojczak, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2000. Thomas had worked at 4 firms and has passed the Series 65, Series 63 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 1, 2013 - September 11, 2013
CROSS POINT CAPITAL LLC
September 20, 2012 - November 8, 2012
H. RIVKIN & CO., INC.
September 21, 2009 - May 3, 2010
BUCKMAN, BUCKMAN & REID, INC.
December 15, 2005 - September 23, 2009
H. RIVKIN & CO., INC.
March 7, 2000 - April 18, 2001
PRUDENTIAL EQUITY GROUP, LLC
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
CROSS POINT CAPITAL LLC
CRD#: 136223 / SEC#: , 8-66989
Contact information
FINRA licenses (17 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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.
