Thomas L. Sarko

CORE FINANCIAL

Columbus, OH 43201

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CRD#: 2902547

Professional summary

Thomas Louis Sarko is a registered financial professional currently at CORE FINANCIAL, LLC located in Columbus, Ohio.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1997. Thomas has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 14 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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) - BD

Click below to view Thomas Louis Sarko's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

August 24, 2020 - Present

CORE FINANCIAL, LLC

Office #1: 1086 N. Fourth Street - Suite 108, Columbus, OH 43201Office #2: 1086 N. Fourth Street - Suite 108, Columbus, OH 43201

CRD#: 151044

Columbus, OH

Past

October 18, 2006 - August 17, 2020

JPMORGAN DISTRIBUTION SERVICES, INC.

CRD#: 104234

COLUMBUS, OH

Past

August 23, 2001 - March 7, 2003

NEW COVENANT FUNDS DISTRIBUTOR, INC.

CRD#: 37465

JEFFERSONVILLE, IN

Past

July 25, 2001 - February 20, 2003

EVERGREEN DISTRIBUTOR, INC.

CRD#: 35773

BOSTON, MA

Past

July 27, 1999 - February 20, 2003

FORESIDE INVESTMENT SERVICES, LLC

CRD#: 30016

PORTLAND, ME

Past

May 15, 1998 - February 20, 2003

FORESIDE DISTRIBUTION SERVICES, L.P.

CRD#: 15634

PORTLAND, ME

Past

August 5, 1997 - April 1, 1998

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Ohio
(8/24/2020)

Exams

State Security Law Exam

IAR

Series 65

Date: 8/26/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/7/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/28/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 1/24/2007

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CORE FINANCIAL, LLC

CRD#: 151044 / SEC#: , 8-68330

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

1086 N. Fourth Street - Suite 108, Columbus, OH 43201

Mailing Address

1086 N. Fourth Street - Suite 108, Columbus, OH 43201

Phone number

(614) 485-2500

Established

Ohio since 05/29/2009

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (32 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
ASPEN BEND PARTNERS LLC	PARENT COMPANY (100% OWNER)
SAKOL, DANIEL SCOTT	FINOP/PFO/POO	2813237
SARKO, THOMAS LOUIS	PRESIDENT/CCO	2902547

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Thomas L. Sarko

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Louis Sarko's CRS (Customer Relationship Summary).

Certified licenses

Experience

JPMORGAN DISTRIBUTION SERVICES, INC.

NEW COVENANT FUNDS DISTRIBUTOR, INC.

EVERGREEN DISTRIBUTOR, INC.

FORESIDE INVESTMENT SERVICES, LLC

FORESIDE DISTRIBUTION SERVICES, L.P.

PRUDENTIAL EQUITY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/26/1997

Series 63

Date: 8/7/1997

SIE

Date: 10/1/2018

Series 7

Date: 7/28/1997

Series 14

Date: 1/2/2023

Series 24

Date: 1/24/2007

FINRA

Current Firm

CORE FINANCIAL, LLC

Contact information

FINRA licenses (32 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CORE FINANCIAL, LLC

TRUST BUT VERIFY

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