Ted C. Kata
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.
Ted Casey Kata was a registered financial professional .
Ted is a previously registered financial professional and started their career in finance in 1966. Ted had worked at 6 firms and has passed the Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 22, 1982 - October 4, 1985
TK SECURITIES INC.
March 24, 1982 - December 2, 1982
JOSEPH CHARLES & ASSOC., INC.
December 5, 1973 - March 23, 1982
SOUTHEAST SECURITIES OF FLORIDA, INC.
October 11, 1972 - September 20, 1973
HARTFORD VARIABLE ANNUITY LIFE LIFE INSURANCE COMPANY
July 9, 1971 - August 13, 1973
RAYMOND JAMES & ASSOCIATES, INC.
October 5, 1966 - October 1, 1975
CONSOLIDATED SECURITIES CORP.
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 1
Date: 2/20/1965
Registered Representative ExaminationSeries 00
Date: 7/1/1972
General Securities Principal ExaminationCurrent Firm
TK SECURITIES INC.
CRD#: 12991 / SEC#: , 8-28360
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.
