Theresa M. Kubu
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.
Theresa Marie Kubu, who also goes by Theresa Kubu Keating, Terri Kubu, Theresa M Kubu, was a registered financial professional .
Theresa is a previously registered financial professional and started their career in finance in 1994. Theresa had worked at 9 firms and has passed the Series 63, SIE, Series 55, Series 3, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 27, 2014 - April 15, 2015
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
February 1, 2013 - November 12, 2013
TRIAD ADVISORS LLC
March 6, 2012 - September 11, 2012
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 31, 2011 - July 12, 2011
FCG ADVISORS, LLC
March 9, 2005 - January 27, 2011
1ST WORLDWIDE FINANCIAL PARTNERS, LLC
March 18, 2004 - March 7, 2005
THOMAS GROUP CAPITAL
January 17, 2003 - March 25, 2004
CREDIT SUISSE SECURITIES (USA) LLC
June 27, 1997 - January 17, 2003
PERSHING LLC
April 12, 1994 - July 1, 1997
MORGAN STANLEY & CO. LLC
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: 11/1/2004
Limited Representative-Equity Trader ExamCurrent Firm
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
CRD#: 18487 / SEC#: , 8-37085
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN PORTFOLIOS HOLDINGS, INC. | 100% SHAREHOLDER | |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| DOLBER, LON TERRY | DIRECTOR | 862635 |
| DOLBER, LON TERRY | CEO & PRESIDENT | 862635 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR | 2627931 |
| SCHLUETER, MATTHEW ADAM | EVP | 2627931 |
| SCHMIDT, DAVID MARTIN | FINANCIAL & OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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