Thomas E. Bratkovich

DCA FAMILY OFFICE

Roseville, CA 95661

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CRD#: 6356180

Professional summary

Thomas E. Bratkovich, who also goes by Thomas Edward Bratkovich, Tom Bratkovich, Thomas Bratkovich, is a registered financial advisor currently at DCA FAMILY OFFICE, LLC located in Roseville, California.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Thomas has worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas Edward Bratkovich | Tom Bratkovich | Thomas Bratkovich

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 E. Bratkovich'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

June 13, 2023 - Present

DCA FAMILY OFFICE, LLC

Office #1: 3721 Douglas Blvd., Suite 350, Roseville, CA 95661

RIA

CRD#: 322047

Roseville, CA

Past

June 8, 2020 - January 26, 2022

FORESIDE FUND SERVICES, LLC

CRD#: 46106

SANTA MONICA, CA

Past

June 2, 2018 - February 5, 2020

HOLLISTER ASSOCIATES, LLC

CRD#: 173366

MOUNT PLEASANT, SC

Past

July 30, 2014 - February 22, 2018

NORTH SEA SECURITIES L.P.

CRD#: 35530

SAN FRANCISCO, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

DCA FAMILY OFFICE, LLC

DCA FAMILY OFFICE, LLC | DCA PRIVATE MARKETS

CRD#: 322047 / SEC#: 801-128127

RIA

Registered Investment Advisory firm - (6/8/2023 Approved)

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
(6/13/2023)

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 65

Date: 5/30/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/5/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 2/24/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/28/2014

General Securities Representative Examination

Current Firm

DCA FAMILY OFFICE, LLC

DCA FAMILY OFFICE, LLC | DCA PRIVATE MARKETS

CRD#: 322047 / SEC#: 801-128127

RIA

Registered Investment Advisory firm - (6/8/2023 Approved)

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Contact information

Main Address

3721 Douglas Blvd Suite 350, Roseville, CA 95661

Mailing Address

Phone number

(916) 960-5357

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - DCA FAMILY OFFICE, LLC (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1
AUM (Assets Under Management)	$ 161,651,521

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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Firm Stability Insights

Thomas E. Bratkovich

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas E. Bratkovich's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORESIDE FUND SERVICES, LLC

HOLLISTER ASSOCIATES, LLC

NORTH SEA SECURITIES L.P.

Primary Firm SEC Registration

DCA FAMILY OFFICE, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/30/2023

Series 63

Date: 9/5/2014

Series 7TO

Date: 2/24/2024

SIE

Date: 10/1/2018

Series 7

Date: 7/28/2014

Current Firm

DCA FAMILY OFFICE, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DCA FAMILY OFFICE, LLC

TRUST BUT VERIFY

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