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TK

Troy A. Koubek

Some features on this profile are disabled
CRD#: 2575692
TK

Professional summary

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

Troy is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Troy had worked at 10 firms, which includes SOLID ISG CAPITAL MARKETS LLC, BRIARWOOD INVESTMENT COUNSEL, MORGAN TAYLOR & ASSOCIATES INC., FIRST PROVIDENCE FINANCIAL GROUP LLC, TAYLOR STUART FINANCIAL INC., TASIN & COMPANY INC., ALDEN CAPITAL MARKETS INC., FIRST CAMBRIDGE SECURITIES CORPORATION, A.S. GOLDMEN & CO. INC., ROYCE INVESTMENT GROUP INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Tony Koubek

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

February 1, 1999 - August 23, 1999

SOLID ISG CAPITAL MARKETS, LLC

BD
CRD#: 39375
NEW YORK, NY
Past

March 7, 1998 - June 10, 1998

BRIARWOOD INVESTMENT COUNSEL

BD
CRD#: 6368
NEW YORK, NY
Past

January 14, 1998 - February 6, 1998

MORGAN, TAYLOR & ASSOCIATES, INC.

BD
CRD#: 37447
MINEOLA, NY
Past

September 9, 1997 - February 4, 1998

FIRST PROVIDENCE FINANCIAL GROUP, LLC

BD
CRD#: 39469
PORT WASHINGTON, NY
Past

June 12, 1997 - August 30, 1997

TAYLOR STUART FINANCIAL, INC.

BD
CRD#: 39025
GREAT NECK, NY
Past

April 29, 1997 - June 4, 1997

TASIN & COMPANY, INC.

BD
CRD#: 30709
HAUPPAUGE, NY
Past

January 8, 1997 - April 21, 1997

ALDEN CAPITAL MARKETS, INC.

BD
CRD#: 25314
NEW YORK, NY
Past

April 23, 1996 - January 4, 1997

FIRST CAMBRIDGE SECURITIES CORPORATION

BD
CRD#: 21846
NEW YORK, NY
Past

February 28, 1996 - April 22, 1996

A.S. GOLDMEN & CO., INC.

BD
CRD#: 23180
RED BANK, NJ
Past

December 22, 1995 - February 1, 1996

ROYCE INVESTMENT GROUP, INC.

BD
CRD#: 10494
WOODBURY, 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: 3/6/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/21/1995
General Securities Representative Examination

Current Firm

SI
SOLID ISG CAPITAL MARKETS, LLC
ISG CAPITAL MARKETS, L.L.C. | SOLID ISG CAPITAL MARKETS, LLC | MERCURY SECURITIES INTERNATIONAL, L.L.C. | ISG SOLID CAPITAL MARKETS, LLC

CRD#: 39375 / SEC#: , 8-48665

BD
Terminated by SEC on 02/03/2002
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Contact information

Main Address
Mailing Address
Phone number
Established
Texas since 08/18/1995
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
SOLID ISG CAPITAL US INC.MEMBER
BALTOVSKI, ALEXANDERCFO & COO
SPINDEL, HOWARDPRINCIPAL708042

Disclosures

Arbitration1

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

SOLID ISG CAPITAL MARKETS, LLC

CRD#: 39375

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