Michael W. Kubinec
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.
Michael William Kubinec was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1985. Michael had worked at 8 firms and has passed the Series 63, Series 5, Series 3, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 12, 2002 - December 19, 2003
SYNDICATED CAPITAL, INC.
April 12, 1995 - June 13, 2000
VANGUARD CAPITAL
July 31, 1993 - March 27, 1995
CITIGROUP GLOBAL MARKETS INC.
May 27, 1993 - July 31, 1993
LEHMAN BROTHERS INC.
September 20, 1990 - June 21, 1993
UBS FINANCIAL SERVICES INC.
February 18, 1988 - September 12, 1990
MORGAN STANLEY DW INC.
December 27, 1985 - March 9, 1988
ROBERT THOMAS SECURITIES, INC
November 19, 1985 - January 10, 1986
BORDEN SECURITIES COMPANY
Primary Firm SEC Registration
SYNDICATED CAPITAL, INC.
CRD#: 29037 / SEC#: 801-129421, 8-44162
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 5
Date: 5/25/1988
Interest Rate Options ExaminationCurrent Firm
SYNDICATED CAPITAL, INC.
CRD#: 29037 / SEC#: 801-129421, 8-44162
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SC ADD HOLDINGS, LLC | OWNER | |
| BAINES AND MCADAMS LIVING TRUST | OWNER | |
| BAINES, HEATHER UNA | TRUSTEE OF BAINES & MCADAMS LIVING TRUST | 2173889 |
| LEE, FAITH | PRESIDENT, CCO, ROP, MUNICIPAL SECURITIES PRINCIPAL, MANAGER OF SC ADD HOLDINGS, LLC | 2715226 |
| MCADAMS, JOSEPH LLOYD JR | SROP, CROP, MUNICIPAL SECURITIES PRINCIPAL/TRUSTEE OF BAINES AND MCADAMS LIVING TRUST | 2173886 |
| THORNTON, STEVEN LEE | FINANCIAL AND OPERATIONS PRINCIPAL | 4496384 |
Regulatory assets under management
| Total Number of Accounts | 393 |
| AUM (Assets Under Management) | $ 122,987,781 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
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