Company Name:
SUMITOMO BANK SECURITIES, INC.
CRD Number:
28602
Financial Regulator:
SEC/ FINRA
Registration started
Ended
1991
1992
1993
1994
1995
1996
1997
1998
1999
2000
2001
CDR: 1617128
EDWARD MCCARTHY
EDWARD JOHN MCCARTHY JR EDWARD JOHN MCCARTHY
started on 1991-12-06
CDR: 1517366
CHRISTOPHER TUTTLE
CHRIS TUTTLE
started on 1992-03-17
CDR: 2052700
Edward Hawke
EDWARD FLOYD HAWK EDWARD FLOYD HAWKE
started on 1992-04-01
CDR: 1608368
THOMAS LAYTON
started on 1992-09-28
CDR: 1451806
MARK GIOVANAZZI
started on 1992-08-26
CDR: 2052700
Edward Hawke
EDWARD FLOYD HAWK EDWARD FLOYD HAWKE
ended on 1992-09-10
CDR: 2257639
Richard Gallagher
RICHARD GALLAGHER
started on 1993-06-09
CDR: 2230224
SCOTT PENG
SCOTT PENG SHIHKOW PENG
started on 1993-10-30
CDR: 1617128
EDWARD MCCARTHY
EDWARD JOHN MCCARTHY JR EDWARD JOHN MCCARTHY
ended on 1993-09-09
CDR: 1546031
WALTER WONG
WALTER T WONG
started on 1994-06-08
CDR: 2461233
MILES DRAYCOTT
started on 1994-04-18
CDR: 1797419
JOYCE FROST
JOYCE GJERTSEN FROST JOYCE ANN GJERTSEN JOYCE GJERTSEN
started on 1994-03-30
CDR: 2476871
JOHN GALLAGHER
started on 1994-06-27
CDR: 2476923
FERNANDO VERA
started on 1994-06-22
CDR: 1290156
BRUCE QUACKENBUSH
BRUCE KALLOCH QUACKENBUSH
started on 1994-04-27
CDR: 1517366
CHRISTOPHER TUTTLE
CHRIS TUTTLE
ended on 1994-09-27
CDR: 2213749
DOUGLAS MILLER
started on 1995-03-15
CDR: 2461233
MILES DRAYCOTT
ended on 1995-03-08
CDR: 2476923
FERNANDO VERA
ended on 1995-05-12
CDR: 1290156
BRUCE QUACKENBUSH
BRUCE KALLOCH QUACKENBUSH
ended on 1995-01-17
CDR: 1738023
CHIHARU ANDO
CHAKO ANDO
started on 1996-02-07
CDR: 2252017
LEE STOWELL
LEE H MAZZA LEE HANLAND MAZZA LEE STOWELL MAZZA LEE H STOWELL
started on 1996-11-26
CDR: 2518989
PEDRO SUAZO
PEDRO ANOTONIO SUAZO PEDRO ANTONIO SUAZO PETER ANTHONY SUAZO PETER SUAZO
started on 1996-11-29
CDR: 1704438
FRANCIS FEENEY
started on 1996-11-29
CDR: 2723057
SPENCER HAIMES
SPENCER WYATT HAMES Spencer Wyatt Haimes
started on 1996-04-10
CDR: 1797419
JOYCE FROST
JOYCE GJERTSEN FROST JOYCE ANN GJERTSEN JOYCE GJERTSEN
ended on 1996-09-23
CDR: 1738023
CHIHARU ANDO
CHAKO ANDO
ended on 1996-09-09
CDR: 2230224
SCOTT PENG
SCOTT PENG SHIHKOW PENG
ended on 1996-01-26
CDR: 2476923
FERNANDO VERA
started on 1997-04-30
CDR: 2191801
BARRY TSE
started on 1997-12-08
CDR: 2915448
LUKASZ CIANCIARA
started on 1997-07-25
CDR: 2252017
LEE STOWELL
LEE H MAZZA LEE HANLAND MAZZA LEE STOWELL MAZZA LEE H STOWELL
ended on 1997-03-27
CDR: 2213749
DOUGLAS MILLER
ended on 1997-12-05
CDR: 2518989
PEDRO SUAZO
PEDRO ANOTONIO SUAZO PEDRO ANTONIO SUAZO PETER ANTHONY SUAZO PETER SUAZO
ended on 1997-08-29
CDR: 2723057
SPENCER HAIMES
SPENCER WYATT HAMES Spencer Wyatt Haimes
ended on 1997-01-13
CDR: 2361684
NOBUKO TANGE
NOBUKO MORTIMER
started on 1998-04-17
CDR: 3036947
HIROAKI YAMAUCHI
started on 1998-04-15
CDR: 2973164
LAWRENCE YU
started on 1998-01-30
CDR: 3005951
ANATOLY NAKUM
ANATOLY NAKUMOVICH
started on 1998-03-04
CDR: 3060954
YOSHIHIRO SATAKE
started on 1998-05-22
CDR: 2062372
ROBERT YAN
ROBERT N YAN
started on 1998-06-25
CDR: 3036947
HIROAKI YAMAUCHI
ended on 1998-07-28
CDR: 3005951
ANATOLY NAKUM
ANATOLY NAKUMOVICH
ended on 1998-11-19
CDR: 1704438
FRANCIS FEENEY
ended on 1998-01-27
CDR: 1608368
THOMAS LAYTON
ended on 1998-01-09
CDR: 1451806
MARK GIOVANAZZI
ended on 1998-01-09
CDR: 2915448
LUKASZ CIANCIARA
ended on 1998-09-24
CDR: 2062372
ROBERT YAN
ROBERT N YAN
ended on 1998-12-23
CDR: 3190929
YUKARI O'CONNOR
YUKARI TACHIBANA-OCONNOR YUKARI TACHIBANAOCONNOR
started on 1999-03-09
CDR: 2725721
RICHARD SMITH
started on 1999-11-29
CDR: 3190929
YUKARI O'CONNOR
YUKARI TACHIBANA-OCONNOR YUKARI TACHIBANAOCONNOR
ended on 1999-12-21
CDR: 2973164
LAWRENCE YU
ended on 1999-07-19
CDR: 1546031
WALTER WONG
WALTER T WONG
ended on 1999-03-05
CDR: 2257639
Richard Gallagher
RICHARD GALLAGHER
ended on 1999-08-30
CDR: 4149151
F TABI
F FREDERICK TABI
started on 2000-09-14
CDR: 2361684
NOBUKO TANGE
NOBUKO MORTIMER
ended on 2000-03-01
CDR: 2476871
JOHN GALLAGHER
ended on 2000-02-09
CDR: 2476923
FERNANDO VERA
ended on 2000-02-29
CDR: 2191801
BARRY TSE
ended on 2000-01-03
CDR: 3060954
YOSHIHIRO SATAKE
ended on 2000-10-30
CDR: 2725721
RICHARD SMITH
ended on 2000-07-13
CDR: 4149151
F TABI
F FREDERICK TABI
ended on 2001-01-03



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