Trevor M. Saliba

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CRD#: 2692057

Professional summary

Trevor Michael Saliba was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Trevor is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Trevor had worked at 11 firms, which includes HB SECURITIES LLC, NMS CAPITAL SECURITIES LLC, ARQUE CAPITAL LTD., NMS CAPITAL ASSET MANAGEMENT INC., NEWBRIDGE SECURITIES CORPORATION, PURSHE KAPLAN STERLING INVESTMENTS, AFA FINANCIAL GROUP LLC, AFA ADVISOR SERVICES LLC, INVESTMENT ADVISORS INTERNATIONAL INC., TRIQUEST FINANCIAL INC., MORGAN STANLEY DW INC..

Question & Answer

Are you a "fiduciary"?

Aliases

Trevor M Saliba

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.

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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

April 13, 2012 - December 31, 2018

HB SECURITIES, LLC

CRD#: 140356

BEVERLY HILLS, CA

Past

September 19, 2011 - October 6, 2015

NMS CAPITAL SECURITIES, LLC

CRD#: 107401

BEVERLY HILLS, CA

Past

July 11, 2011 - September 20, 2011

ARQUE CAPITAL, LTD.

RIA

CRD#: 121192

BEVERLY HILLS, CA

Past

February 4, 2011 - December 3, 2018

NMS CAPITAL ASSET MANAGEMENT, INC.

RIA

CRD#: 149678

BEVERLY HILLS, CA

Past

September 3, 2010 - November 15, 2010

ARQUE CAPITAL, LTD.

RIA

CRD#: 121192

BEVERLY HILLS, CA

Past

September 2, 2010 - September 20, 2011

ARQUE CAPITAL, LTD.

CRD#: 121192

SCOTTSDALE, AZ

Past

July 6, 2010 - August 27, 2010

NEWBRIDGE SECURITIES CORPORATION

CRD#: 104065

BEVERLY HILLS, CA

Past

October 1, 2009 - June 14, 2010

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

BEVERLY HILLS, CA

Past

June 24, 2009 - October 1, 2009

AFA FINANCIAL GROUP, LLC

CRD#: 127648

CALABASAS, CA

Past

June 5, 2009 - December 31, 2010

NMS CAPITAL ASSET MANAGEMENT, INC.

RIA

CRD#: 149678

BEVERLY HILLS, CA

Past

April 14, 2009 - October 1, 2009

AFA ADVISOR SERVICES LLC

RIA

CRD#: 129104

BEVERLY HILLS, CA

Past

November 21, 2008 - May 4, 2009

INVESTMENT ADVISORS INTERNATIONAL, INC.

RIA

CRD#: 139233

ORANGE, CA

Past

January 20, 1999 - May 4, 1999

TRIQUEST FINANCIAL, INC.

CRD#: 6596

GLENDALE, CA

Past

December 20, 1995 - February 4, 1997

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, 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

Series 63

Date: 7/6/2009

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/15/2008

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/23/2009

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/2/2011

General Securities Principal Examination

Current Firm

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

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

Name	Position	CRD#
J&C GLOBAL HOLDINGS, INC.	HOLDING COMPANY
NMS FIN HOLDINGS LLC	OWNER
DE LUZ, MICHAEL K	CEO/CCO	2526894
DOOLEY, BRADFORD R	FINOP	4308078

Disclosures

Regulatory Event

Red Flags

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Firm Stability Insights

Trevor M. Saliba

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NMS CAPITAL SECURITIES, LLC

ARQUE CAPITAL, LTD.

NMS CAPITAL ASSET MANAGEMENT, INC.

ARQUE CAPITAL, LTD.

ARQUE CAPITAL, LTD.

NEWBRIDGE SECURITIES CORPORATION

PURSHE KAPLAN STERLING INVESTMENTS

AFA FINANCIAL GROUP, LLC

NMS CAPITAL ASSET MANAGEMENT, INC.

AFA ADVISOR SERVICES LLC

INVESTMENT ADVISORS INTERNATIONAL, INC.

TRIQUEST FINANCIAL, INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/6/2009

Series 65

Date: 8/15/2008

SIE

Date: 10/1/2018

Series 7

Date: 6/23/2009

Series 24

Date: 11/2/2011

Current Firm

HB SECURITIES, LLC

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

HB SECURITIES, LLC

TRUST BUT VERIFY

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