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KT

Kathryn E. Tubbs

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CRD#: 6150186
KT

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.

Kathryn Elizabeth Tubbs was a registered financial professional .

Kathryn is a previously registered financial professional and started their career in finance in 2014. Kathryn had worked at 1 firm and has passed the SIE and Series 99 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 22, 2014 - June 8, 2015

INNOVATION CAPITAL, LLC

BD
CRD#: 133551
EL SEGUNDO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 6/8/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 7/22/2014
Operations Professional Examination

Current Firm

IC
INNOVATION CAPITAL, LLC
INNOVATION CAPITAL, LLC

CRD#: 133551 / SEC#: , 8-66734

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
2255 Glades Road Suite 324a, Boca Raton, FL 33431
Mailing Address
2255 Glades Road Suite 324a, Boca Raton, FL 33431
Phone number
(561) 725-0702
Established
Louisiana since 02/16/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (8 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
INNOVATION CAPITAL HOLDING, LLCSHAREHOLDER
SODL, MATTHEW JOSEPHPRESIDENT, CCO, AML-CO2868101
THORNTON, STEVEN LEEFINOP4496384
THORNTON, STEVEN LEEPRINCIPAL4496384

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.

Company Information

INNOVATION CAPITAL, LLC

CRD#: 133551

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