Frank K. Kubica
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.
Frank Karl Kubica was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1975. Frank had worked at 8 firms and has passed the Series 63, PC, Series 7, Series 2 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 21, 2012 - April 14, 2014
NATIONAL SECURITIES CORPORATION
January 5, 2005 - November 20, 2012
NEWBRIDGE SECURITIES CORPORATION
June 16, 1997 - December 31, 2004
FIRST MONTAUK SECURITIES CORP.
July 20, 1992 - May 28, 1997
TUCKER ANTHONY INCORPORATED
September 15, 1989 - July 22, 1992
PRUDENTIAL EQUITY GROUP, LLC
September 13, 1978 - September 15, 1989
THOMSON MCKINNON SECURITIES INC.
July 28, 1976 - October 11, 1978
HAPOALIM SECURITIES USA, INC.
October 23, 1975 - August 19, 1976
BUTCHER & SINGER INC.
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
PC
Date: 8/16/1977
AMEX Put and Call ExamSeries 2
Date: 9/5/1974
Non-Member General Securities ExaminationCurrent Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
