Tebogo K. Phiri
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.
Tebogo Kevin Phiri, who also goes by Tebogu Kevin Phiri, was a registered financial professional .
Tebogo is a previously registered financial professional and started their career in finance in 1999. Tebogo had worked at 4 firms and has passed the Series 63, SIE, Series 55, Series 7 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
November 21, 2018 - December 10, 2020
SEA OTTER SECURITIES GROUP LLC
February 29, 2008 - July 10, 2015
RBC CAPITAL MARKETS, LLC
December 17, 2002 - July 10, 2015
RBC CMA LTD
July 2, 1999 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
State Registrations and Notice Filings
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Exams
Series 55
Date: 10/5/1999
Limited Representative-Equity Trader ExamCurrent Firm
SEA OTTER SECURITIES GROUP LLC
CRD#: 171630 / SEC#: , 8-69472
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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