Tom T. Kubota
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.
Tom Tatsuo Kubota was a registered financial professional .
Tom is a previously registered financial professional and started their career in finance in 1970. Tom had worked at 7 firms and has passed the Series 63, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 13, 1985 - February 2, 1987
TOLUCA PACIFIC SECURITIES CORP.
March 2, 1984 - August 21, 1987
DREXEL BURNHAM LAMBERT INCORPORATED
November 28, 1981 - February 4, 1984
UNION SECURITIES
June 23, 1977 - November 16, 1981
DREXEL BURNHAM LAMBERT INCORPORATED
January 14, 1976 - August 16, 1977
STERN, FRANK, MEYER & FOX, INCORPORATED
January 2, 1974 - December 8, 1975
CANTOR FITZGERALD & CO.
January 7, 1972 - January 19, 1974
JONES, RENSBERGER & CO., INC.
June 4, 1970 - September 12, 1972
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
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 1
Date: 12/23/1968
Registered Representative ExaminationCurrent Firm
TOLUCA PACIFIC SECURITIES CORP.
CRD#: 13875 / SEC#: , 8-29814
Contact information
Documents
Red Flags
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