Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on February 16, 2017 indicate that former Illinois-based Harbor Light Securities broker/adviser Thomas Raterman has been the subject of a customer dispute and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Raterman (CRD# 4532910).
Thomas Raterman has spent thirteen years in the securities industry and was most recently registered with Harbor Light Securities in Chicago, Illinois (2014-2016). Previous registrations include Gentry Securities in Chicago, Illinois; 1st Worldwide Financial Partners in Chicago, Illinois; Interocean Securities in Chicago, Illinois; Securitrade Corporation in Irving, Texas; Salomon Grey Financial Corporation, which has been expelled by FINRA, in Dallas, Texas; Certes Capital Securities in Deerfield, Illinois; and Shattuck Hammond Partners in New York, New York. He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination); Series 66 (Uniform Combined State Law Examination); Series 7 (General Securities Representative Examination); and Series 24 (General Securities Principal Examination). He is currently not registered with any state or firm.
According to his BrokerCheck report, Thomas Raterman has received one customer complaint.
In 2015 a customer alleged Thomas Raterman, while employed at Gentry Securities, recommended an unsuitable investment “in an entity affiliated with Gentry Venture Management, LLC.” The complaint settled for $200,000.
If you have lost money investing with Thomas Raterman, you may be able to recover your losses. Call Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis: Fitapelli Kurta only gets paid if and when you collect funds. Time to file your claim may be limited by law, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.