Kirk E. Kubach
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.
Kirk Elliott Kubach was a registered financial professional .
Kirk is a previously registered financial professional and started their career in finance in 1994. Kirk had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 24, Series 27 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 7, 2013 - April 5, 2016
UNITED CAPITAL MARKETS, INC.
August 7, 2012 - August 9, 2012
POINTE ATLANTIC, INC
November 22, 2006 - January 3, 2007
GREAT EASTERN SECURITIES, INC.
May 1, 2006 - August 10, 2007
POINTE ATLANTIC, INC
March 8, 2006 - August 17, 2010
JHS CAPITAL ADVISORS, LLC
November 3, 2003 - March 8, 2006
STERLING FINANCIAL INVESTMENT GROUP, INC.
April 28, 2003 - November 19, 2003
PMK SECURITIES & RESEARCH, INC.
January 1, 1994 - January 16, 1995
CHEMICAL INVESTOR SERVICES, 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
Exams
Series 28
Date: 4/7/2003
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
UNITED CAPITAL MARKETS, INC.
CRD#: 40980 / SEC#: , 8-49253
Contact information
FINRA licenses (41 States and Territories)
Disclosures
| Regulatory Event | 2 |
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.
