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CK

Charles V. Koubek

Some features on this profile are disabled
CRD#: 2068434
CK

Professional summary

Charles Vito Koubek JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Charles is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, Charles had worked at 10 firms, which includes NATIONAL SECURITIES CORPORATION, THOMAS FLETCHER & COMPANY INC., CONTINENTAL BROKER-DEALER CORP., SOLID ISG CAPITAL MARKETS LLC, BRIARWOOD INVESTMENT COUNSEL, FIRST PROVIDENCE FINANCIAL GROUP LLC, FIRST CAMBRIDGE SECURITIES CORPORATION, JOSEPHTHAL & CO. INC., MAIDSTONE FINANCIAL INC., HANOVER STERLING & COMPANY LTD..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 3, 2002 - March 28, 2003

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
BOCA RATON, FL
Past

February 12, 2002 - April 14, 2004

THOMAS FLETCHER & COMPANY, INC.

BD
CRD#: 43675
NEW YORK, NY
Past

May 8, 2001 - November 28, 2001

CONTINENTAL BROKER-DEALER CORP.

BD
CRD#: 14048
CARLE PLACE, NY
Past

May 26, 1999 - April 4, 2001

SOLID ISG CAPITAL MARKETS, LLC

BD
CRD#: 39375
NEW YORK, NY
Past

March 7, 1998 - June 8, 1998

BRIARWOOD INVESTMENT COUNSEL

BD
CRD#: 6368
NEW YORK, NY
Past

August 18, 1997 - December 8, 1997

FIRST PROVIDENCE FINANCIAL GROUP, LLC

BD
CRD#: 39469
PORT WASHINGTON, NY
Past

April 30, 1996 - May 23, 1997

FIRST CAMBRIDGE SECURITIES CORPORATION

BD
CRD#: 21846
NEW YORK, NY
Past

December 9, 1994 - September 22, 1995

JOSEPHTHAL & CO., INC.

BD
CRD#: 3227
NEW YORK, NY
Past

April 11, 1994 - July 8, 1994

MAIDSTONE FINANCIAL, INC.

BD
CRD#: 31804
NEW YORK, NY
Past

September 19, 1991 - April 26, 1994

HANOVER, STERLING & COMPANY LTD.

BD
CRD#: 15491
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/3/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 9/17/1991
General Securities Representative Examination

Current Firm

NS
NATIONAL SECURITIES CORPORATION
NAT'L SECURITIES CORP | WASHINGTON NATIONAL SECURITIES CORPORATION | NTL INSURANCE AGENCY | NSC INSURANCE AGENCY | NATIONAL SECURITIES OF WASHINGTON | NATIONAL SECURITIES CORPORATION | NATIONAL SECURITIES CORP OF WASHINGTON STATE

CRD#: 7569 / SEC#: , 8-164

BD
Terminated by SEC on 10/20/2022
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Contact information

Main Address
Mailing Address
Phone number
Established
Washington since 01/06/1947
Firm type
Corporation
Fiscal year end
September
Firm Size
Large
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
NATIONAL HOLDINGS CORPORATIONPARENT, OWNER
MARKUNAS, MICHAELCHIEF COMPLIANCE OFFICER1832307

Disclosures

Regulatory Event66
Arbitration16

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.

Company Information

NATIONAL SECURITIES CORPORATION

CRD#: 7569

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