Thomas E. Bratkovich
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 E. Bratkovich, who also goes by Thomas Edward Bratkovich, Tom Bratkovich, Thomas Bratkovich, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2014. Thomas had worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, SIE 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
June 13, 2023 - March 24, 2026
DCA FAMILY OFFICE, LLC
June 8, 2020 - January 26, 2022
FORESIDE FUND SERVICES, LLC
June 2, 2018 - February 5, 2020
HOLLISTER ASSOCIATES, LLC
July 30, 2014 - February 22, 2018
NORTH SEA SECURITIES L.P.
Primary Firm SEC Registration
DCA FAMILY OFFICE, LLC
CRD#: 322047 / SEC#: 801-128127
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
Series 7TO
Date: 2/24/2024
General Securities Representative ExaminationCurrent Firm
DCA FAMILY OFFICE, LLC
CRD#: 322047 / SEC#: 801-128127
Contact information
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 161,651,521 |
Red Flags
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