Ken H. Tsuboi
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.
Ken Hiroshi Tsuboi, who also goes by Ken H Tsuboi, was a registered financial professional .
Ken is a previously registered financial professional and started their career in finance in 1987. Ken had worked at 2 firms and has passed the Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 21, 2014 - December 24, 2019
ALAN BILLER AND ASSOCIATES
June 1, 1989 - April 16, 1991
MORGAN STANLEY & CO. LLC
November 25, 1987 - December 31, 1988
MORGAN STANLEY & CO. LLC
Primary Firm SEC Registration
ALAN BILLER AND ASSOCIATES
CRD#: 105283 / SEC#: 801-48432
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
Current Firm
ALAN BILLER AND ASSOCIATES
CRD#: 105283 / SEC#: 801-48432
Contact information
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 60 |
| AUM (Assets Under Management) | $ 59,353,683,024 |
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.
