John M. Tobias
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.
John Mimnaugh Tobias III, who also goes by Jack Tobias III, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2011. John had worked at 6 firms and has passed the Series 57TO, SIE and Series 56 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 17, 2021 - August 14, 2026
DV EQUITIES
August 26, 2020 - August 30, 2021
DV SECURITIES, LLC
November 28, 2014 - September 25, 2020
LUPO SECURITIES, LLC
October 31, 2013 - December 2, 2014
SUMO CAPITAL, LLC
May 18, 2012 - November 1, 2013
DRO-WST TRADING, LLC
July 1, 2011 - June 12, 2012
CASSANDRA TRADING GROUP, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 56
Date: 8/22/2011
Proprietary Trader Qualification ExaminationCurrent Firm
DV EQUITIES
CRD#: 312688 / SEC#: , 8-70659
Contact information
Documents
Red Flags
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