Ray Hiromu Kobayashi
Professional Summary
Ray Hiromu Kobayashi was a registered financial advisor. Ray was a previously registered financial professional and started their career in finance 1974 - 1992. Ray had worked at 8 firms and has passed the Series 63, Series 3, Series 15, PC and Series 1 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
52 years in the financial services industry
Current & Past Employments
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Current Firm
TOLUCA LAKE SECURITIES CORP. | TOLUCA PACIFIC SECURITIES CORP.
Contact Information
Established
California since 05/01/1983Firm Type
CorporationFiscal Year End
AprilDocuments
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 15 — Foreign Currency Options Examination
Passed Dec 1982PC — AMEX Put and Call Exam
Passed Aug 1979Series 1 — Registered Representative Examination
Passed Jun 1974Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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