Thomas S. Kuharski
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 Stephen Kuharski was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1989. Thomas had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 16, 2012 - April 3, 2018
CUNA BROKERAGE SERVICES, INC.
November 16, 2012 - April 3, 2018
CUNA BROKERAGE SERVICES, INC.
May 31, 2011 - August 27, 2012
LPL FINANCIAL LLC
May 31, 2011 - August 27, 2012
LPL FINANCIAL LLC
August 31, 2007 - December 11, 2009
CONNECTICUT INVESTMENT MANAGEMENT
August 31, 2007 - June 1, 2011
NEWALLIANCE INVESTMENTS, INC.
July 13, 2006 - September 6, 2007
MSI FINANCIAL SERVICES, INC.
June 26, 2006 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
June 26, 2006 - September 6, 2007
MSI FINANCIAL SERVICES, INC.
December 12, 2002 - April 20, 2006
IFMG SECURITIES, INC.
February 29, 1996 - April 20, 2006
IFMG SECURITIES, INC.
March 1, 1991 - March 7, 1996
COMPULIFE INVESTOR SERVICES, INC.
October 16, 1989 - February 20, 1991
METROPOLITAN LIFE INSURANCE COMPANY
October 16, 1989 - February 20, 1991
MSI FINANCIAL SERVICES, 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
CUNA BROKERAGE SERVICES, INC.
CRD#: 13941 / SEC#: 801-60099, 8-30027
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
