John M. Tobias
Professional summary
John Mimnaugh Tobias III, who also goes by Jack Tobias III, is a registered financial professional currently at DV EQUITIES located in Chicago, Illinois.
John is registered as a RR (Registered Representative) and started their career in finance in 2011. John has worked at 6 firms and has passed the Series 57TO, SIE and Series 56 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Mimnaugh Tobias III's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 17, 2021 - Present
DV EQUITIES
Office #1: 425 S. Financial Place Suite 2800, Chicago, IL 60605August 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
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 56
Date: 8/22/2011
Proprietary Trader Qualification ExaminationCboe Exchange, Inc.
FINRA
Nasdaq Stock Market
Current Firm
DV EQUITIES
CRD#: 312688 / SEC#: , 8-70659
Contact information
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.
