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Andrew Paul Tomasko Sr

CRD# 447853·Registered 1955 - 1998
Previously Registered: Being a previously registered professional could mean that Andrew 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.

Professional Summary

Andrew Paul Tomasko SR, who also goes by Andrew Paul Tomasko, was a registered financial advisor. Andrew was a previously registered financial professional and started their career in finance 1955 - 1998. Andrew had worked at 5 firms and has passed the Series 63 and Series 1 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Andrew Paul Tomasko

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

71 years in the financial services industry

Current & Past Employments

RUTHERFORD, BROWN & CATHERWOOD, LLC·CRD# 10306
BD
Philadelphia, PA
April 1, 1993 - November 30, 1998
LEGG MASON WOOD WALKER, INCORPORATED·CRD# 6555
BD
November 3, 1987 - April 6, 1993
LEGG MASON MASTEN INC.·CRD# 2
BD
October 30, 1987 - November 4, 1987
LEGG MASON WOOD WALKER, INCORPORATED·CRD# 6555
BD
Baltimore, MD
May 27, 1982 - April 6, 1993
ELKINS & CO.·CRD# 6789
BD
July 14, 1955 - June 17, 1982
PRUDENTIAL EQUITY GROUP, LLC·CRD# 7471
BD
July 14, 1955 - August 2, 1982

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Current Firm

RB
RUTHERFORD, BROWN & CATHERWOOD, LLC

RUTHERFORD & COMPANY, INC. | RUTHERFORD, BROWN & CATHERWOOD, LLC | RUTHERFORD, BROWN & CATHERWOOD, INC.

CRD#: 10306 / SEC#: 8-26902
BD
Terminated by SEC on 11/11/2008

Contact Information

Established

Delaware since 08/02/1999

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
PHOENIX INVESTMENT PARTNERS, LTD.SHAREHOLDER—
RUTHERFORD FINANCIAL CORPORATIONSHAREHOLDER—
HAUGEN, CLIFFORD PETERPRESIDENT, CHIEF COMPLIANCE OFFICER4416860
PHILLIPS, ROBERT NIELSON JREXECUTIVE VICE PRESIDENT/MANAGING MEMBER872937

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 1988About the Series 63 exam

Series 1 — Registered Representative Examination

Passed Jul 1955

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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