Thomas J. Kertelits
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 James Kertelits, who also goes by Tom Kertelits, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1991. Thomas had worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 15, 2014 - May 30, 2014
XFA SECURITIES, LLC
April 1, 2014 - July 2, 2024
X-CHANGE FINANCIAL ACCESS, LLC
August 4, 2004 - December 31, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 5, 1991 - February 14, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Series 55
Date: 1/28/2000
Limited Representative-Equity Trader ExamCurrent Firm
XFA SECURITIES, LLC
CRD#: 147909 / SEC#: , 8-67939
Contact information
Documents
Red Flags
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