Joe R. Huff
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.
Joe Richard Huff was a registered financial professional .
Joe is a previously registered financial professional and started their career in finance in 1987. Joe had worked at 6 firms and has passed the Series 63, Series 7 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
March 17, 1997 - August 25, 1997
NDX TRADING, INC.
April 2, 1992 - December 6, 1996
NATIONWIDE SECURITIES CORPORATION
December 14, 1990 - October 3, 1991
T.L. SMITH SECURITIES
June 8, 1990 - November 9, 1994
CULLUM & SANDOW SECURITIES, INC.
October 19, 1987 - June 22, 1990
V.F. MINTON SECURITIES, INC.
March 25, 1987 - October 9, 1987
DFW CLEARING, 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
Current Firm
NDX TRADING, INC.
CRD#: 39940 / SEC#: , 8-48905
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NDX HOLDINGS, INC. | SHAREHOLDER | |
| THOMPSON, CHAD MICHAEL | PRESIDENT/CEO/FINOP/CCO/MUNICIPAL SECURITIES PRINCIPAL | 4116364 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 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.
