Articles Tagged with harbor light securities

Thomas Raterman

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.

Christopher GoslinPublic records published by the Financial Industry Regulatory Authority (FINRA) on December 12, 2016 indicate that Florida-based Harbor Light Securities broker/adviser Christopher Goslin has been sanctioned by FINRA. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Goslin (CRD# 1720162).

Christopher Goslin has spent 29 years in the securities industry and has been registered with Harbor Light Securities in Tampa, Florida since 2012. Previous registrations include JP Turner & Company in Tampa, Florida; Gunnallen Financial in Tampa, Florida; Wachovia Securities in St. Louis, Missouri; Painewebber in Weehawken, New Jersey; Glenfed Brokerage Services in Glendale, California; and Merrill Lynch in New York, New York. He is a registered broker and investment adviser in Florida.

According to his BrokerCheck report, Christopher Goslin has received eight customer complaints, three pending customer complaints, and two FINRA sanctions.

Christopher Goslin Public records published by the Financial Industry Regulatory Authority (FINRA) on June 2, 2016 indicate that Florida-based Harbor Light Securities broker/adviser Christopher Goslin has received numerous settled or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Goslin (CRD# 1720162).

Christopher Goslin has spent 28 years in the securities industry and has been registered with Harbor Light Securities in Tampa, Florida since 2012. Previous registrations include JP Turner & Company in Tampa, Florida; Gunnallen Financial in Tampa, Florida; Wachovia Securities in St. Louis, Missouri; Painewebber in Weehawken, New Jersey; Glenfed Brokerage Services in Glendale, California; and Merrill Lynch in New York, New York. He is a registered broker and investment adviser in Florida. Continue Reading