Individual Firm
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ANDREW JOSEPH KUBICSKO JR
ANDREW J KUBICSKO
CRD#: 861670
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RAYMOND JAMES & ASSOCIATES, INC.CRD#: 705 120 S Riverside Plaza
Suite 700
Chicago, IL 60606
Suite 700
Chicago, IL 60606
View By:
9/20/2023
Customer Dispute
Pending
9/27/1993
Customer Dispute
Settled
10/25/1989
Employment Separation After Allegations
State Registrations
B
Alabama 11/15/2017
B
Minnesota 2/5/2013
B
Arizona 2/4/2011
B
Montana 10/20/2016
B
California 10/8/2013
B
Nevada 1/27/2020
B
Colorado 2/4/2011
B
New York 1/6/2016
B
Connecticut 3/13/2012
B
North Carolina 3/3/2011
B
Florida 2/4/2011
B
Tennessee 2/4/2011
B
Idaho 10/8/2013
B
Texas 8/9/2016
B
Illinois 2/4/2011
B
Virginia 7/3/2014
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Illinois 7/2/2024
B
Washington 9/26/2019
B
Indiana 2/4/2011
B
Wisconsin 2/4/2011
B
Iowa 2/4/2011
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Wisconsin 10/28/2020
B
Michigan 2/4/2011
SRO Registrations
B
B
B
B
B
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Registered with this firm since 10/28/2020
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Registered with this firm since 2/4/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 01/01/2008 - 02/09/2011 | CHICAGO, IL | |
B | 01/22/1993 - 01/03/2008 | CHICAGO, IL | |
B | 04/30/1991 - 01/12/1993 | NEW YORK, NY | |
B | 02/01/1990 - 04/03/1991 | ST. PETERSBURG, FL | |
B | 12/03/1986 - 12/07/1989 | WEEHAWKEN, NJ | |
B | 12/12/1983 - 12/22/1986 | ||
B | 04/20/1981 - 01/13/1982 | ||
B | 01/21/1980 - 05/10/1981 | ||
B | 07/16/1979 - 02/02/1980 | ||
B | 01/29/1979 - 07/16/1979 |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.