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Richard D. Tabizon

Some features on this profile are disabled
CRD#: 2601208
RT

Professional summary

Richard Daniel Tabizon II was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Richard is a previously registered financial advisor and started their career in finance in 1996. Prior to being barred, Richard had worked at 9 firms, which includes HB SECURITIES LLC, NMS CAPITAL SECURITIES LLC, ARQUE CAPITAL LTD., NMS CAPITAL ASSET MANAGEMENT INC., EMMETT A LARKIN COMPANY INC., PMB SECURITIES CORP., MORGAN STANLEY DW INC., MUTUAL SECURITIES INC., THOMAS GREEN SECURITIES INC..

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

June 4, 2012 - March 13, 2015

HB SECURITIES, LLC

BD
CRD#: 140356
BEVERLY HILLS, CA
Past

September 22, 2011 - March 13, 2015

NMS CAPITAL SECURITIES, LLC

BD
CRD#: 107401
BEVERLY HILLS, CA
Past

March 15, 2011 - September 20, 2011

ARQUE CAPITAL, LTD.

BD
CRD#: 121192
SCOTTSDALE, AZ
Past

January 25, 2011 - March 13, 2015

NMS CAPITAL ASSET MANAGEMENT, INC.

RIA
CRD#: 149678
BEVERLY HILLS, CA
Past

September 2, 2005 - August 17, 2009

EMMETT A LARKIN COMPANY, INC.

RIA
CRD#: 6625
LONGVIEW, TX
Past

April 12, 2005 - August 17, 2009

EMMETT A LARKIN COMPANY, INC.

BD
CRD#: 6625
LONGVIEW, TX
Past

April 2, 2003 - March 31, 2005

PMB SECURITIES CORP.

RIA
CRD#: 118642
NEWPORT BEACH, CA
Past

November 27, 2002 - March 31, 2005

PMB SECURITIES CORP.

BD
CRD#: 118642
NEWPORT BEACH, CA
Past

April 13, 2000 - December 2, 2002

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
ONTARIO, CA
Past

January 11, 2000 - December 2, 2002

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

July 25, 1997 - November 3, 1999

MUTUAL SECURITIES, INC.

BD
CRD#: 13092
CAMARILLO, CA
Past

December 19, 1996 - April 9, 1997

THOMAS GREEN SECURITIES, INC.

BD
CRD#: 571
LOS ANGELES, CA

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
IAR
Series 65
Date: 4/10/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/24/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 3/13/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 3/13/2000
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 12/16/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 9/23/2003
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/3/2003
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 6/13/2002
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 3/18/2002
General Securities Sales Supervisor - Options Module Examination

Current Firm

HS
HB SECURITIES, LLC
HB SECURITIES, LLC | NMS FINANCIAL SERVICES, LLC | NMS CAPITAL ADVISORS, LLC. | MITRE GROUP LLC | J&C GLOBAL SECURITIES LLC

CRD#: 140356 / SEC#: , 8-67307

BD
Terminated by SEC on 02/15/2025
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Contact information

Main Address
Mailing Address
Phone number
Established
Indiana since 01/17/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
J&C GLOBAL HOLDINGS, INC.HOLDING COMPANY
NMS FIN HOLDINGS LLCOWNER
DE LUZ, MICHAEL KCEO/CCO2526894
DOOLEY, BRADFORD RFINOP4308078

Disclosures

Regulatory Event2

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

HB SECURITIES, LLC

CRD#: 140356

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