Jorge P. Tabuas
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.
Jorge Pires Tabuas was a registered financial professional .
Jorge is a previously registered financial professional and started their career in finance in 1997. Jorge had worked at 9 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 19, 2013 - November 5, 2013
NEAR EARTH, LLC
August 15, 2007 - October 5, 2011
DAWSON JAMES SECURITIES, INC.
October 6, 2004 - April 20, 2007
MAXIM GROUP LLC
March 15, 2004 - October 20, 2004
KIRLIN SECURITIES INC.
December 21, 2001 - March 20, 2002
COMMONWEALTH ASSOCIATES
August 8, 2000 - August 28, 2001
GKN SECURITIES CORP.
April 12, 1999 - August 17, 2000
LADENBURG THALMANN & CO. INC.
January 27, 1998 - June 22, 1998
JOSEPH STEVENS & CO., INC.
November 14, 1997 - December 31, 1997
FIRST UNITED EQUITIES CORPORATION
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
Current Firm
NEAR EARTH, LLC
CRD#: 126041 / SEC#: , 8-65846
Contact information
FINRA licenses (12 States and Territories)
Documents
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.
