Thomas H. Rapko

T.H. RAPKO & COMPANY

Monterey, CA 93940

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CRD#: 4889203

Professional summary

Thomas H Rapko is a registered financial advisor currently at T.H. RAPKO & COMPANY, LLC located in Monterey, California.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Thomas has worked at 4 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Thomas H Rapko's 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

January 16, 2013 - Present

T.H. RAPKO & COMPANY, LLC

Office #1: 215 West Franklin Street Suite 311, Monterey, CA 93940

RIA

CRD#: 165874

Monterey, CA

Past

June 1, 2009 - January 25, 2013

MORGAN STANLEY

CRD#: 149777

BOSTON, MA

Past

October 10, 2008 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

BOSTON, MA

Past

February 23, 2005 - October 13, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

BOSTON, MA

Past

January 31, 2005 - October 13, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

BOSTON, MA

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(7/21/2014)

IAR

Massachusetts
(1/16/2013)

IAR

Texas
(3/13/2013)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/22/2005

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 1/28/2005

General Securities Representative Examination

Current Firm

T.H. RAPKO & COMPANY, LLC

T H RAPKO & COMPANY | T.H. RAPKO & COMPANY, LLC

CRD#: 165874 / SEC#:

California

Registered Investment Advisory firm - (7/21/2014 Approved)

Massachusetts

Registered Investment Advisory firm - (1/16/2013 Approved)

Texas

Registered Investment Advisory firm - (3/13/2013 Conditional Restricted)

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Contact information

Main Address

215 West Franklin Street Suite 311, Monterey, CA 93940

Mailing Address

Phone number

(617) 331-1784

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	70
AUM (Assets Under Management)	$ 30,000,000

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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Thomas H. Rapko

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas H Rapko's CRS (Customer Relationship Summary).

Certified licenses

Experience

T.H. RAPKO & COMPANY, LLC

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 2/22/2005

Series 7

Date: 1/28/2005

Current Firm

T.H. RAPKO & COMPANY, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

T.H. RAPKO & COMPANY, LLC

TRUST BUT VERIFY

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