Wayne R. Koby
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.
Wayne Robert Koby was a registered financial professional .
Wayne is a previously registered financial professional and started their career in finance in 1993. Wayne had worked at 5 firms and has passed the Series 63, Series 55, Series 7, Series 3, Series 4 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
August 11, 2011 - December 18, 2013
VELOCITY CLEARING, LLC
March 3, 2003 - April 6, 2010
FIS BROKERAGE & SECURITIES SERVICES LLC
September 10, 1997 - March 3, 2003
RUMSON CAPITAL, LLC
November 12, 1993 - November 20, 2000
INSTITUTIONAL EQUITY CORPORATION
January 26, 1993 - August 26, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH 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 55
Date: 12/27/1999
Limited Representative-Equity Trader ExamCurrent Firm
VELOCITY CLEARING, LLC
CRD#: 126588 / SEC#: , 8-65894
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 19 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
