Thomas W. Tomljanovic
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 William Tomljanovic was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2005. Thomas had worked at 3 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 13, 2014 - December 31, 2017
ARQUE ADVISORS, LLC
October 4, 2010 - December 31, 2012
ARQUE ADVISORS, LLC
June 23, 2008 - May 25, 2010
A.G.P. / ALLIANCE GLOBAL PARTNERS
March 9, 2006 - December 31, 2007
COORDINATED CAPITAL SECURITIES, INC.
October 19, 2005 - December 31, 2007
COORDINATED CAPITAL SECURITIES, INC.
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
Current Firm
ARQUE ADVISORS, LLC
CRD#: 144862 / SEC#: 801-68334
Contact information
Regulatory assets under management
| Total Number of Accounts | 24 |
| AUM (Assets Under Management) | $ 6,476,326 |
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.
