Thomas A. Ketelaar
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 A Ketelaar, who also goes by Tom A. Ketelaar, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1973. Thomas had worked at 14 firms and has passed the Series 65, Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 24, 2012 - November 18, 2015
RETIREMENT DEPOT
January 10, 2012 - May 22, 2012
AVANTAX ADVISORY SERVICES
January 10, 2012 - May 22, 2012
AVANTAX INVESTMENT SERVICES, INC.
August 17, 2011 - October 27, 2011
MSI FINANCIAL SERVICES, INC.
August 12, 2011 - October 27, 2011
MSI FINANCIAL SERVICES, INC.
November 9, 2007 - August 27, 2009
FIRST ALLIED SECURITIES, INC.
April 22, 2004 - June 6, 2006
RJL FINANCIAL NETWORK, L.L.C.
November 6, 2002 - August 21, 2009
RAYMOND J. LUCIA COMPANIES, INC.
September 30, 2002 - November 13, 2007
SECURITIES AMERICA, INC.
May 8, 2001 - September 30, 2002
THE ADVISORS GROUP, INC.
October 11, 1999 - September 30, 2002
THE ADVISORS GROUP, INC.
June 18, 1989 - September 27, 1999
SUNAMERICA SECURITIES, INC.
January 5, 1983 - June 18, 1989
SOUTHMARK FINANCIAL SERVICES, INC.
December 12, 1978 - March 24, 1981
ENTERPRISE FUND DISTRIBUTORS, INC.
August 5, 1975 - March 12, 1977
MARQUETTE FINANCIAL GROUP, INC.
April 25, 1973 - September 15, 1975
WOODBURY 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
Series 1
Date: 4/18/1973
Registered Representative ExaminationCurrent Firm
RETIREMENT DEPOT
CRD#: 142010 / SEC#:
Contact information
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.
