Charles C. Fox
Professional summary
Charles Curtis Fox, who also goes by Curt Fox, is a registered financial professional currently at LOMBARD SECURITIES INCORPORATED located in Baltimore, Maryland.
Charles is registered as a RR (Registered Representative) and started their career in finance in 1984. Charles has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 10, Series 14, Series 9, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Charles Curtis Fox's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 31, 1997 - Present
LOMBARD SECURITIES INCORPORATED
Office #1: 1820 Lancaster St., Baltimore, MD 21231July 3, 1996 - March 3, 1997
CAPITAL PORTFOLIO MANAGEMENT, INC.
December 21, 1993 - July 10, 1996
ACUMENT SECURITIES, INC.
May 29, 1990 - December 14, 1993
FERRIS, BAKER WATTS, LLC
November 4, 1988 - June 5, 1990
JOHNSTON, LEMON & CO. INCORPORATED
October 24, 1988 - December 14, 1993
FERRIS, BAKER WATTS, LLC
January 31, 1984 - October 24, 1988
BAKER, WATTS & CO., INC.
January 17, 1984 - January 31, 1984
FIRST JERSEY SECURITIES, 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
(1/31/2012)
(1/13/2023)
(2/28/2022)
(1/13/2023)
(1/12/2023)
(1/13/2023)
(1/31/1997)
(1/30/2018)
(1/12/2023)
(1/13/2012)
(1/12/2023)
(1/13/2023)
(4/4/2024)
(1/5/2012)
(1/13/2023)
(5/27/2004)
(7/22/2021)
(12/5/2022)
(7/1/2025)
Exams
Series 8
Date: 9/14/1987
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
LOMBARD SECURITIES INCORPORATED
CRD#: 27954 / SEC#: , 8-43340
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| REYNOLDS, EDWIN MAJOR JR | DIRECTOR, SHAREHOLDER, FIRM PRINCIPAL | 374634 |
| SOCHA, WILLIAM STEPHEN | CHIEF OPERATING OFFICER, OPERATIONS MANAGER, CROP, FINOP, DIRECTOR, SHAREHOLDER | 712323 |
| FOX, CHARLES CURTIS | CO-CEO, DIRECTOR, AND SHAREHOLDER | 1201770 |
| JONES, RUTH PORTER | DIRECTOR AND SHAREHOLDER | 842232 |
| PETER, EMIL III | SHAREHOLDER | |
| SLAGLE, BRIAN LEE | DIRECTOR AND SHAREHOLDER | 2895570 |
| DONLAN WELKER, TERRY LYNN | CHIEF COMPLIANCE OFFICER | 2825889 |
| OATES, DONALD EUGENE | DIRECTOR AND SHAREHOLDER | 1180250 |
| SONNIER, EDWARD DAVID II | DIRECTOR AND SHAREHOLDER | 2479370 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
| Bond | 4 |
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.
