Scott J. Mibu
Professional summary
Scott Jiro Mibu, who also goes by Scott Mibu, is a registered financial professional currently at CAPLINK SECURITIES, INC located in Hermosa Beach, California.
Scott is registered as a RR (Registered Representative) and started their career in finance in 1994. Scott has worked at 3 firms and has passed the Series 63, Series 65, Series 99TO, Series 79TO, SIE, Series 3, Series 7, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Scott Jiro Mibu's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 8, 2013 - Present
CAPLINK SECURITIES, INC
Office #1: 200 Pier Avenue Suite 123, Hermosa Beach, CA 90254June 7, 2007 - February 19, 2013
CAPSTONE INVESTMENTS
May 14, 2002 - February 19, 2013
CAPSTONE INVESTMENTS
October 30, 2001 - June 25, 2002
AMERICAN EASTERN SECURITIES, INC.
January 1, 1994 - November 12, 1999
AMERICAN EASTERN SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/7/2013)
(3/8/2013)
(5/7/2015)
(5/6/2013)
(7/21/2021)
(4/26/2013)
(5/1/2013)
(4/23/2013)
(4/25/2013)
(5/1/2013)
(9/19/2014)
(5/1/2013)
(9/8/2014)
(4/7/2016)
(6/4/2013)
(3/8/2013)
(3/8/2013)
(5/8/2013)
(4/25/2013)
(4/15/2013)
(8/29/2014)
(4/9/2013)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
CAPLINK SECURITIES, INC
CRD#: 130702 / SEC#: , 8-66379
Contact information
FINRA licenses (25 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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