Thomas H. Kock

SABADELL SECURITIES USA

Miami, FL 33131

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CRD#: 2068231

Professional summary

Thomas Hans Kock is a registered financial professional 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.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary) - BD

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CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 18, 2017 - Present

SABADELL SECURITIES USA, INC.

Office #1: 1111 Brickell Avenue 30th Floor, Miami, FL, 33131

CRD#: 148137

Miami, FL

Past

July 10, 2008 - December 7, 2016

ITAU INTERNATIONAL SECURITIES INC.

CRD#: 144769

MIAMI, FL

Past

November 17, 2000 - June 11, 2007

LASALLE FINANCIAL SERVICES, INC.

CRD#: 20373

MIAMI, FL

Past

October 14, 1997 - April 29, 1999

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

Past

June 11, 1990 - August 8, 1990

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

EDISON, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(12/18/2017)

Exams

State Security Law Exam

Series 63

Date: 12/9/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/13/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/8/1990

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/24/2001

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

SABADELL SECURITIES USA, INC.

SABADELL SECURITIES USA | SABADELL SECURITIES USA, INC.

CRD#: 148137 / SEC#: 801-71763, 8-67975

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

1111 Brickell Avenue 30th Floor 30th Floor, Miami, FL, 33131

Mailing Address

1111 Brickell Avenue 30th Floor, Miami, FL, 33131

Phone number

(786) 587-1603

Established

Florida since 05/23/2008

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (9 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

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

Red Flags

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Thomas H. Kock

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Hans Kock's CRS (Customer Relationship Summary).

Certified licenses

Experience

ITAU INTERNATIONAL SECURITIES INC.

LASALLE FINANCIAL SERVICES, INC.

BARCLAYS CAPITAL INC.

FORESTERS FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/9/1997

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 10/13/1997

Series 6

Date: 6/8/1990

Series 24

Date: 4/24/2001

FINRA

Current Firm

SABADELL SECURITIES USA, INC.

Contact information

FINRA licenses (9 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

SABADELL SECURITIES USA, INC.

TRUST BUT VERIFY

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