Ray H. Kobayashi
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.
Ray Hiromu Kobayashi was a registered financial professional .
Ray is a previously registered financial professional and started their career in finance in 1974. Ray had worked at 8 firms and has passed the Series 63, Series 3, Series 15, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 2, 1990 - October 20, 1992
TOLUCA PACIFIC SECURITIES CORP.
May 30, 1989 - April 24, 1990
HAWAII CAPITAL GROUP, INC.
January 25, 1989 - May 3, 1989
INTERCONTINENTAL BROKERAGE CORPORATION
November 14, 1988 - May 13, 1989
TOLUCA PACIFIC SECURITIES CORP.
June 21, 1985 - July 23, 1988
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
December 8, 1982 - October 18, 1985
PRUDENTIAL EQUITY GROUP, LLC
February 26, 1982 - December 8, 1982
NOMURA SECURITIES INTERNATIONAL, INC.
March 19, 1981 - January 20, 1982
THOMSON MCKINNON SECURITIES INC.
May 14, 1979 - April 19, 1980
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 21, 1974 - June 1, 1979
NOMURA SECURITIES INTERNATIONAL, 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 15
Date: 12/1/1982
Foreign Currency Options ExaminationPC
Date: 8/2/1979
AMEX Put and Call ExamSeries 1
Date: 6/17/1974
Registered Representative ExaminationCurrent Firm
TOLUCA PACIFIC SECURITIES CORP.
CRD#: 13875 / SEC#: , 8-29814
Contact information
Documents
Red Flags
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