Thomas M. Petracek
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 Petracek, who also goes by Tom Petracek, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1986. Thomas had worked at 11 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, 2006 - August 19, 2008
WORKMAN SECURITIES CORPORATION
July 30, 2002 - October 6, 2005
WOODBURY FINANCIAL SERVICES, INC.
February 21, 2001 - August 5, 2002
OSAIC FS, INC.
December 17, 1998 - February 12, 2001
FSC SECURITIES CORPORATION
June 5, 1997 - December 23, 1998
MM ASCEND LIFE INVESTOR SERVICES, LLC
October 10, 1996 - June 4, 1997
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
July 26, 1996 - October 29, 1996
FFP SECURITIES, INC.
June 5, 1996 - July 25, 1996
TRANSAMERICA FINANCIAL ADVISORS, LLC
March 4, 1996 - June 12, 1996
MM ASCEND LIFE INVESTOR SERVICES, LLC
January 3, 1994 - March 26, 1996
WORKMAN SECURITIES CORPORATION
November 17, 1992 - January 4, 1994
WOODBURY FINANCIAL SERVICES, INC.
November 7, 1989 - November 25, 1992
ARM SECURITIES CORPORATION
November 22, 1988 - November 15, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
December 26, 1986 - December 5, 1988
AMERIPRISE FINANCIAL SERVICES, 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
WORKMAN SECURITIES CORPORATION
CRD#: 31898 / SEC#: 801-65758, 8-45573
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 4 |
Red Flags
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