Thomas B. Raterman

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CRD#: 4532910

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 Brian Raterman was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 2002. Thomas had worked at 11 firms and has passed the Series 63, Series 66, SIE, Series 7 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)

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

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

Past

March 7, 2014 - December 31, 2016

HARBOR LIGHT SECURITIES, LLC

CRD#: 130227

CHICAGO, IL

Past

January 19, 2012 - February 17, 2017

BENCHMARK INVESTMENT ADVISORS LLC

RIA

CRD#: 159705

CHICAGO, IL

Past

January 4, 2012 - March 7, 2014

GENTRY SECURITIES LLC

CRD#: 155142

CHICAGO, IL

Past

March 15, 2011 - March 6, 2012

SWIFT WEALTH MANAGEMENT

RIA

CRD#: 139869

CHICAGO, IL

Past

December 17, 2009 - January 6, 2012

1ST WORLDWIDE FINANCIAL PARTNERS, LLC

CRD#: 132038

CHICAGO, IL

Past

December 8, 2006 - July 9, 2009

INTEROCEAN SECURITIES LLC

CRD#: 141077

CHICAGO, IL

Past

May 22, 2006 - December 5, 2006

1ST WORLDWIDE FINANCIAL PARTNERS, LLC

CRD#: 132038

CHICAGO, IL

Past

May 10, 2006 - October 6, 2009

INTEROCEAN WEALTH MANAGEMENT LLC

RIA

CRD#: 140456

CHICAGO, IL

Past

January 9, 2006 - May 10, 2006

SECURITRADE CORPORATION

CRD#: 35520

IRVING, TX

Past

October 10, 2005 - January 12, 2006

SALOMON GREY FINANCIAL CORPORATION

RIA

CRD#: 43413

DALLAS, TX

Past

July 26, 2005 - January 12, 2006

SALOMON GREY FINANCIAL CORPORATION

CRD#: 43413

DALLAS, TX

Past

January 28, 2004 - July 27, 2005

CERTES CAPITAL SECURITIES, LLC

CRD#: 124392

DEERFIELD, IL

Past

July 11, 2002 - November 10, 2003

SHATTUCK HAMMOND PARTNERS LLC

CRD#: 113645

NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 3/28/2007

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 4/22/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/10/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/28/2004

General Securities Principal Examination

Current Firm

HARBOR LIGHT SECURITIES, LLC

HARBOR LIGHT SECURITIES, LLC | SECURE TREND FINANCIAL, LLC

CRD#: 130227 / SEC#: , 8-66315

Terminated by SEC on 02/25/2017

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Contact information

Main Address

Mailing Address

Phone number

Established

North Carolina since 10/23/2003

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
LOCKHART, JAMES S	CEO, PRESIDENT, CHIEF COMPLIANCE OFFICER	4415115
LOCKHART, MARY CHRISTINE	MEMBER	6122817
LOCKHART, WILLIAM PRESTON	MEMBER	5927973

Disclosures

Regulatory Event	1
Civil Event	1

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.

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Advisor Monitoring

Firm Stability Insights

Thomas B. Raterman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BENCHMARK INVESTMENT ADVISORS LLC

GENTRY SECURITIES LLC

SWIFT WEALTH MANAGEMENT

1ST WORLDWIDE FINANCIAL PARTNERS, LLC

INTEROCEAN SECURITIES LLC

1ST WORLDWIDE FINANCIAL PARTNERS, LLC

INTEROCEAN WEALTH MANAGEMENT LLC

SECURITRADE CORPORATION

SALOMON GREY FINANCIAL CORPORATION

SALOMON GREY FINANCIAL CORPORATION

CERTES CAPITAL SECURITIES, LLC

SHATTUCK HAMMOND PARTNERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/28/2007

Series 66

Date: 4/22/2004

SIE

Date: 12/31/2016

Series 7

Date: 7/10/2002

Series 24

Date: 10/28/2004

Current Firm

HARBOR LIGHT SECURITIES, LLC

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

HARBOR LIGHT SECURITIES, LLC

TRUST BUT VERIFY

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