Thomas P. Luka
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 Phillip Luka was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1972. Thomas had worked at 8 firms and has passed the Series 65, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 1, 1996 - December 31, 2008
EATON VANCE DISTRIBUTORS, INC.
March 8, 1995 - November 1, 1996
EATON VANCE DISTRIBUTORS, INC.
January 11, 1994 - February 23, 1995
COLONIAL INVESTMENT SERVICES
December 23, 1986 - November 3, 1993
MFS FINANCIAL SERVICES, INC.
February 10, 1981 - January 9, 1987
MASSACHUSETTS FINANCIAL SERVICES COMPANY
December 4, 1974 - March 12, 1979
VOYA FINANCIAL ADVISORS, INC.
December 4, 1973 - December 25, 1974
WHITE, WELD & CO. INCORPORATED
October 24, 1972 - December 14, 1973
DEAN WITTER & CO. INCORPORATED
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: 10/10/1972
Registered Representative ExaminationSeries 40
Date: 6/9/1977
Registered Principal ExaminationCurrent Firm
EATON VANCE DISTRIBUTORS, INC.
CRD#: 37731 / SEC#: , 8-47939
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | SHAREHOLDER | |
| FAHEY, LAWRENCE LOUIS | PRINCIPAL OPERATIONS OFFICER | 2097212 |
| FAMIGLIETTI, FRANK J | DIRECTOR | 2702269 |
| KASETA, LYNN M | CHIEF COMPLIANCE OFFICER | 6451373 |
| KUSH, ANTHONY N | PRINCIPAL FINANCIAL OFFICER, AND, FINANCIAL AND OPERATIONS PRINCIPAL OFFICER | 7463692 |
| LEFEVRE, BENJAMIN WILLIAM | TEXAS DESIGNATED PRINCIPAL | 2261749 |
| LEIMENSTOLL, ANDREW JOHN | DIRECTOR | 4640636 |
| MICHAUD, DAVID ANDREW | DIRECTOR | 2730645 |
| WITKOS, MATTHEW JOSEPH | PRESIDENT, CEO, AND DIRECTOR | 2034689 |
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.
