Articles Tagged with Thomas Raterman

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.