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JP

James R. Ptacek

Some features on this profile are disabled
CRD#: 1959049
JP

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 Robert Ptacek JR, who also goes by James Robert Ptacek, Jim Ptacek, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1989. James had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

James Robert Ptacek | Jim Ptacek

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 11, 2023 - October 23, 2025

TA-CHECK FINANCIAL LTD.

RIA
CRD#: 122953
STRONGSVILLE, OH
Past

February 14, 2018 - November 14, 2024

LPL FINANCIAL LLC

RIA
CRD#: 6413
WILLOUGHBY HILLS, OH
Past

February 14, 2018 - November 14, 2024

LPL FINANCIAL LLC

BD
CRD#: 6413
WILLOUGHBY HILLS, OH
Past

November 29, 2017 - December 31, 2022

TA-CHECK FINANCIAL LTD.

RIA
CRD#: 122953
FAIRVIEW PARK, OH
Past

August 29, 2007 - February 15, 2018

SII INVESTMENTS, INC.

RIA
CRD#: 2225
PARMA, OH
Past

August 29, 2007 - February 14, 2018

SII INVESTMENTS, INC.

BD
CRD#: 2225
PARMA, OH
Past

October 31, 2002 - October 19, 2007

TA-CHECK FINANCIAL LTD.

RIA
CRD#: 122953
PARMA, OH
Past

September 20, 1999 - August 27, 2007

FSC SECURITIES CORPORATION

RIA
CRD#: 7461
PARMA, OH
Past

April 1, 1997 - August 27, 2007

FSC SECURITIES CORPORATION

BD
CRD#: 7461
PARMA, OH
Past

November 12, 1993 - February 3, 1997

OSAIC WEALTH, INC.

BD
CRD#: 23131
SCOTTSDALE, AZ
Past

June 28, 1990 - March 15, 1993

MUTUAL SERVICE CORPORATION

BD
CRD#: 4806
BOSTON, MA
Past

March 28, 1990 - August 1, 1990

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
MILWAUKEE, WI
Past

June 15, 1989 - March 15, 1990

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/2/2007
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/31/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/16/1993
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 6/14/1989
Investment Company Products/Variable Contracts Representative Examination

Current Firm

TF
TA-CHECK FINANCIAL LTD.
TA-CHECK FINANCIAL LTD.

CRD#: 122953 / SEC#:

Ohio
Registered Investment Advisory firm - (1/5/2023 Approved)
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Contact information

Main Address
7979 Pearl Road, Strongsville, OH 44136
Mailing Address
Phone number
(440) 891-1200
Established
Firm type
Fiscal year end
# of Employees
3

Documents

Latest Form ADV

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.

Company Information

TA-CHECK FINANCIAL LTD.

CRD#: 122953

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