Thomas Hans Kock
Professional Summary
Thomas Hans Kock is a registered financial advisor currently at SABADELL SECURITIES USA, INC. located in Miami, Florida. Thomas is registered as a RR (Registered Representative) and started their career in finance in 1990. Thomas has worked at 5 firms and has passed the Series 63, Series 6TO, SIE, Series 7, Series 6 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
36 years in the financial services industry
Current & Past Employments
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Current Firm
SABADELL SECURITIES USA | SABADELL SECURITIES USA, INC.
Contact Information
Main Address
1111 Brickell Avenue 30th Floor 30th Floor, Miami, FL, 33131Mailing Address
1111 Brickell Avenue 30th Floor, Miami, FL, 33131Phone Number
(786) 587-1603Established
Florida since 05/23/2008Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (11 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BANCO SABADELL, SA | PARENT | — |
| DINAMARCA, RUBEN ANDRES | COO | 6201999 |
| FERNANDEZ, JULIAN VALENTIN | DIRECTOR | 6138371 |
| LABISTE, VIRGINIA | PRESIDENT/ CEO | 5654675 |
| RODRIGUEZ, GLORIA M | CCO | 5179878 |
| SINGER, STEVEN FREDERIC | FINOP/ CFO | 2360737 |
| TORRAS, JORDI | MEMBER OF BOARD OF DIRECTORS | 6547780 |
| VILLOLDO, JORGE PATRICK | DIRECTOR | 4370481 |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(12/18/2017)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6TO — Investment Company Products/Variable Contracts Representative Examination
Passed Jan 2023About the Series 6TO examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jun 1990About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Thomas Hans Kock's CRS (Customer Relationship Summary).
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