Ko 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.
Ko Kobayashi was a registered financial professional .
Ko is a previously registered financial professional and started their career in finance in 2005. Ko had worked at 4 firms and has passed the Series 66, Series 79TO, SIE 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
May 10, 2022 - September 13, 2023
SOLOMON PARTNERS SECURITIES, LLC
December 13, 2007 - July 13, 2021
MOELIS & COMPANY LLC
September 14, 2007 - December 19, 2007
MERCANTI SECURITIES, LLC
August 31, 2005 - July 16, 2007
UBS SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
SOLOMON PARTNERS SECURITIES, LLC
CRD#: 28041 / SEC#: , 8-43369
Contact information
FINRA licenses (34 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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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