Thomas K. Guba
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Thomas Kevin Guba was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1984. Thomas had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 17, 2009 - April 8, 2015
AURIGA USA, LLC
October 6, 2009 - December 23, 2016
HCFP/CAPITAL MARKETS LLC
February 6, 2003 - November 13, 2008
TERWIN CAPITAL, LLC
November 3, 2000 - September 11, 2002
PERSHING LLC
October 16, 2000 - September 13, 2002
CREDIT SUISSE SECURITIES (USA) LLC
December 21, 1994 - October 16, 2000
PERSHING LLC
January 29, 1993 - April 22, 1994
CITIGROUP GLOBAL MARKETS INC.
April 30, 1991 - January 27, 1993
INTESA SANPAOLO IMI SECURITIES CORP.
August 7, 1990 - April 30, 1991
MABON, NUGENT & CO.
March 28, 1990 - April 2, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
July 26, 1984 - April 2, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 12/10/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
AURIGA USA, LLC
CRD#: 121731 / SEC#: , 8-65441
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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