James M. Tomkiewicz
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.
James Michael Tomkiewicz, who also goes by James M Tomkiewicz, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1986. James had worked at 6 firms and has passed the Series 63, SIE 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 4, 2016 - July 19, 2017
HAZARD & SIEGEL, INC.
April 30, 2014 - October 6, 2015
CADARET, GRANT & CO., INC.
May 12, 2000 - October 31, 2002
EQUITY SERVICES, INC.
August 5, 1996 - April 28, 2000
PRINCIPAL SECURITIES, INC.
January 8, 1986 - July 9, 1996
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
January 8, 1986 - July 9, 1996
SIGNATOR INVESTORS, 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
HAZARD & SIEGEL, INC.
CRD#: 2048 / SEC#: , 8-13942
Contact information
FINRA licenses (43 States and Territories)
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.
