Thomas F. Rauba

EAGLE ROCK FINANCIAL ADVISERS, LTD.

Lancaster, PA 17601

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CRD#: 1834632

Professional summary

Thomas Frank Rauba, CFP®, who also goes by Tom Rauba, is a registered financial advisor currently at EAGLE ROCK FINANCIAL ADVISERS, LTD. located in Lancaster, Pennsylvania.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Thomas has worked at 5 firms and has passed the Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tom Rauba

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. INDEPENDENT INSURANCE AGENT SELLING LONG TERM CARE INSURANCE / LANCASTER, PA / APPROVED 3-3-03

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Frank Rauba's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1992

Experience

Current

April 23, 2003 - Present

EAGLE ROCK FINANCIAL ADVISERS, LTD.

Office #1: 2501 Oregon Pike Suite 104, Lancaster, PA 17601

RIA

CRD#: 125749

Lancaster, PA

Past

April 28, 2003 - June 1, 2007

TRUSTMONT FINANCIAL GROUP, INC.

CRD#: 18312

LANCASTER, PA

Past

February 14, 1997 - April 24, 2003

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

May 25, 1988 - February 19, 1997

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

May 25, 1988 - February 19, 1997

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Pennsylvania
(4/23/2003)

IAR

Texas
(7/5/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 6/16/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/21/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/14/1997

General Securities Principal Examination

Current Firm

EAGLE ROCK FINANCIAL ADVISERS, LTD.

CRD#: 125749 / SEC#: 801-66739

RIA

Registered Investment Advisory firm - (6/27/2012 Terminated)

Pennsylvania

Registered Investment Advisory firm - (5/17/2012 Approved)

Texas

Registered Investment Advisory firm - (7/2/2016 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

2501 Oregon Pike Suite 104, Lancaster, PA 17601

Mailing Address

Phone number

(717) 569-4577

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	178
AUM (Assets Under Management)	$ 47,300,000

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.

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Thomas F. Rauba

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Frank Rauba's CRS (Customer Relationship Summary).

Certified licenses

Experience

EAGLE ROCK FINANCIAL ADVISERS, LTD.

TRUSTMONT FINANCIAL GROUP, INC.

LPL FINANCIAL LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/16/1988

Series 7

Date: 5/21/1988

Series 24

Date: 3/14/1997

Current Firm

EAGLE ROCK FINANCIAL ADVISERS, LTD.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

EAGLE ROCK FINANCIAL ADVISERS, LTD.

TRUST BUT VERIFY

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