Thomas J. Horack
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 Joseph Horack was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1979. Thomas had worked at 8 firms and has passed the Series 65, SIE, Series 7, Series 1, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 7, 2013 - January 20, 2016
SIGNATOR FINANCIAL SERVICES, INC.
April 8, 2008 - November 2, 2018
SIGNATOR INVESTORS, INC.
April 6, 2006 - March 26, 2008
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
April 6, 2006 - March 27, 2008
CLARENDON INSURANCE AGENCY, INC.
January 18, 2006 - April 2, 2007
IFMG SECURITIES, INC.
October 4, 2004 - May 26, 2005
JOHN HANCOCK DISTRIBUTORS LLC
May 19, 2000 - June 2, 2005
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
January 5, 1979 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
January 5, 1979 - May 27, 2005
SIGNATOR INVESTORS, 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
Series 1
Date: 12/22/1978
Registered Representative ExaminationCurrent Firm
SIGNATOR FINANCIAL SERVICES, INC.
CRD#: 19061 / SEC#: 801-66750, 8-37112
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOHN HANCOCK FINANCIAL NETWORK, INC. | PARENT COMPANY | |
| ABERIZK, EMIL JOSEPH JR | DIRECTOR | 1049525 |
| ARMSTRONG, ABIGAIL MARIE | SECRETARY/CLERK & COUNSEL | 1239945 |
| CLARK, JEFFREY STEPHEN | VICE PRESIDENT, DIRECTOR OF FINANCE, FINANCIAL PRINCIPAL | 4974902 |
| HEAPPS, BRIAN BASIL | DIRECTOR | 1666475 |
| HORACK, THOMAS JOSEPH | CHIEF COMPLIANCE OFFICER | 861315 |
| K VD HAGEN, HALINA | DIRECTOR | 6582303 |
| KARMAN, MITCHELL ANDREW | DIRECTOR | 2837307 |
| MARYANOPOLIS, CHRISTOPHER | PRESIDENT | 3041077 |
| REBMAN, JILL DENISE | DIRECTOR | 6520386 |
| RIGATTI, MATTHEW FORREST | DIRECTOR | 2461646 |
| RISPOLI, FRANK JOSEPH | DIRECTOR | 4364402 |
| SUMINSKI, JOHN WILLIAM | DIRECTOR | 6009337 |
| TETA, ANTHONY MAURICE | DIRECTOR | 4617856 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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