Thomas J. Kerhoulas
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 John Kerhoulas was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1991. Thomas had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 21, 2008 - April 10, 2012
HIMCO DISTRIBUTION SERVICES COMPANY
February 22, 2006 - October 31, 2008
PRUCO SECURITIES, LLC.
August 9, 2005 - October 31, 2008
PRUCO SECURITIES, LLC.
January 22, 2002 - August 1, 2005
OSAIC FA, INC.
January 7, 2002 - August 1, 2005
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
January 7, 2002 - August 1, 2005
OSAIC FA, INC.
May 8, 1997 - January 8, 2002
MML INVESTORS SERVICES, LLC
September 12, 1996 - April 4, 1997
1717 CAPITAL MANAGEMENT COMPANY
June 14, 1991 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
June 14, 1991 - September 13, 1996
PRUCO SECURITIES, 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
HIMCO DISTRIBUTION SERVICES COMPANY
CRD#: 6604 / SEC#: , 8-17719
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HARTFORD FINANCIAL SERVICES, LLC | PARENT OF APPLICANT | |
| BENKEN, DIANA KUMP | CONTROLLER, FINOP, CHIEF FINANCIAL OFFICER | 4579476 |
| CONNER, CHRISTOPHER SCOTT | CHIEF COMPLIANCE OFFICER AND AML OFFICER | 2239639 |
| FAY, ERIC MORGAN | DIRECTOR | 1558547 |
| FIXER, MICHAEL JOSEPH | ASSISTANT VICE PRESIDENT AND ASSISTANT TREASURER | 5601318 |
| JOHNSON, BRION SCOTT | DIRECTOR | 1936218 |
| POZNAR, MATTHEW JAMES | CEO, DIRECTOR | 6307254 |
| PURTILL, SABRA R | TREASURER | 2449290 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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