David P. Fox
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.
David Perry Fox was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1985. David had worked at 13 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 10 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 17, 2015 - February 12, 2016
LPS CAPITAL LLC
January 6, 2014 - January 16, 2015
MUFG SECURITIES AMERICAS INC.
July 25, 2011 - December 31, 2013
MISCHLER FINANCIAL GROUP, INC.
July 19, 2010 - June 10, 2011
SUSQUEHANNA FINANCIAL GROUP, LLLP
April 30, 2008 - July 16, 2010
BNY MELLON CAPITAL MARKETS, LLC
April 1, 2008 - April 30, 2008
BNY CAPITAL MARKETS INC.
July 1, 2002 - October 26, 2007
NOMURA SECURITIES INTERNATIONAL, INC.
April 17, 2001 - June 17, 2002
COMMERZ MARKETS LLC
February 2, 1997 - January 10, 2001
J.P. MORGAN SECURITIES INC.
August 16, 1996 - September 9, 1996
J.P. MORGAN SECURITIES INC.
July 20, 1994 - September 27, 1996
ZIONS DIRECT, INC.
April 8, 1992 - October 27, 1993
BARCLAYS CAPITAL INC.
November 10, 1988 - December 2, 1992
DISCOUNT CORPORATION OF NEW YORK FUTURES
July 25, 1987 - December 12, 1991
DISCOUNT CORPORATION OF NEW YORK
November 21, 1985 - February 10, 1987
DISCOUNT CORPORATION OF NEW YORK FUTURES
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LPS CAPITAL LLC
CRD#: 155246 / SEC#: , 8-68706
Contact information
FINRA licenses (28 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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.
