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Jim Ptacek: Why Did LPL Fire Ta-Check Advisor?

Strongsville, Ohio financial advisor Jim Ptacek (CRD# 1959049) was recently terminated by his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former LPL Financial broker is currently registered as an investment advisor with Ta-Check Financial.

Mr. Ptacek’s BrokerCheck report discloses his termination from LPL Financial. Filed in November 2024, it states that the firm fired him in connection with allegations that he failed to report and receive pre-approval for “for certain outside business activities and private securities transactions.”

A second disclosure on his BrokerCheck report concerns an investor complaint against him. Filed in 2002, it alleged that as a representative of FSC Securities Corporation, he “failed to properly transfer an annuity account” and failed to advise a customer regarding her options as the annuity’s beneficiary. In 2003 the complaint reached a settlement of $125,000.

Ta-Check Financial’s website includes a page describing the firm’s mission. “We strive to help clients maintain financial viability in the present, while taking a proactive approach to address future goals,” it explains. “By combining our knowledge, experience and a team mentality, we strive to assure that every client receives the close analysis and attention they deserve. Our dedication to high standards and work ethic is the reason we believe clients choose to work with us year after year.”

According to the Financial Industry Regulatory Authority and the Securities and Exchange Commission, Jim Ptacek holds 34 years of securities industry experience. Based in Strongsville, Ohio, he has been registered as an investment advisor with Ta-Check Financial since 2023. His past registrations include LPL Financial, SII Investments, FSC Securities, Royal Alliance Associates, Mutual Service Corporation, NML Equity Services, and Kidder Peabody & Company. He is licensed in Ohio. (Information current as of December 2, 2024.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.

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