Audrey M. Kuwabara
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.
Audrey Mari Kuwabara was a registered financial professional .
Audrey is a previously registered financial professional and started their career in finance in 2006. Audrey had worked at 2 firms and has passed the Series 79TO, Series 99TO, SIE, Series 7, Series 14 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
June 11, 2009 - April 27, 2010
EMPIRE SECURITIES CORPORATION
August 9, 2006 - June 16, 2023
ARQUE CAPITAL, LTD.
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
EMPIRE SECURITIES CORPORATION
CRD#: 2826 / SEC#: , 8-15305
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ARQUE ORION HOLDINGS, LLC | OWNER | |
| NING, MICHAEL CHENG | CHIEF COMPLIANCE OFFICER | 1229733 |
Disclosures
| Regulatory Event | 5 |
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.
