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Thomas Frank Rauba

Eagle Rock Financial Advisers, Ltd.

Lancaster, PA

CRD 1834632

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Employer firm

Eagle Rock Financial Advisers, Ltd. CRD 125749

$48.9M regulatory AUM 1 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)

From the firm’s Form ADV. Read the guides:

Current Employers
Eagle Rock Financial Advisers, Ltd.

2501 Oregon Pike Suite 104, Lancaster, PA 17601 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2016-07-02
PA RA APPROVED 2003-04-23
  • TX RA
    APPROVED_RES
    Since 2016-07-02
  • PA RA
    APPROVED
    Since 2003-04-23

Branch Locations

2501 Oregon Pike Suite 104, Lancaster, PA 17601 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Eagle Rock Financial Advisers, Ltd. Lancaster PA 02/2003 Present
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1988-06-16
  • S63 Uniform Securities Agent State Law Examination
    1988-06-16
Designations
  • Certified Financial Planner
Other Names
  • Tom Rauba

View on SEC IAPD

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