Patrick O. Fox

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CRD#: 1756105

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.

Patrick Owen Fox was a registered financial professional .

Patrick is a previously registered financial professional and started their career in finance in 1988. Patrick had worked at 12 firms and has passed the Series 63, SIE, Series 55, Series 15, Series 3, Series 7, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

October 28, 2016 - February 26, 2018

AMTD FINANCIAL MARKETS (USA) LLC

CRD#: 165313

NEW YORK CITY, NY

Past

June 10, 2016 - October 28, 2016

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

July 15, 2014 - February 4, 2016

AMTD FINANCIAL MARKETS (USA) LLC

CRD#: 165313

NEW YORK CITY, NY

Past

May 8, 2014 - July 14, 2014

S. GOLDMAN CAPITAL LLC

CRD#: 145107

NEW YORK, NY

Past

November 8, 2011 - May 18, 2012

QUAD CAPITAL, LLC

CRD#: 148927

NEW YORK, NY

Past

March 16, 2009 - May 19, 2011

FIRST NEW YORK SECURITIES L.L.C.

CRD#: 16362

NEW YORK, NY

Past

February 2, 1998 - March 20, 2009

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

July 17, 1996 - February 3, 1998

AROS SECURITIES INC.

CRD#: 39779

NEW YORK, NY

Past

February 22, 1995 - March 8, 1996

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

CRD#: 3466

NEW YORK, NY

Past

November 16, 1993 - October 10, 1994

INTESA SANPAOLO IMI SECURITIES CORP.

CRD#: 19418

NEW YORK, NY

Past

December 12, 1989 - September 20, 1993

SCHRODER & CO. INC.

CRD#: 6112

NEW YORK, NY

Past

April 10, 1989 - November 27, 1989

CRESVALE INTERNATIONAL, INC.

CRD#: 10813

Past

May 9, 1988 - April 28, 1989

CITICORP SCRIMGEOUR VICKERS INTERNATIONAL, INC.

CRD#: 8207

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 8/18/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 2/26/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 3/29/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 15

Date: 4/26/1989

Foreign Currency Options Examination

General Industry/Product Exam

Series 3

Date: 3/2/1988

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 1/16/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/8/2014

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 11/13/1987

Registered Options Principal Examination

Current Firm

AMTD FINANCIAL MARKETS (USA) LLC

AMTD FINANCIAL MARKETS (USA) LLC | REORIENT FINANCIAL MARKETS (USA) LLC

CRD#: 165313 / SEC#: , 8-69154

Terminated by SEC on 02/20/2018

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Contact information

Main Address

Mailing Address

Phone number

Established

Delaware since 08/02/2012

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
WISE POINT HOLDINGS LIMITED	SHAREHOLDER
BUCHANAN, MICHAEL SCOTT	CCO, CFO	2575526
FOX, PATRICK OWEN	CEO	1756105

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.

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Advisor Monitoring

Firm Stability Insights

Patrick O. Fox

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

EQUITABLE ADVISORS, LLC

AMTD FINANCIAL MARKETS (USA) LLC

S. GOLDMAN CAPITAL LLC

QUAD CAPITAL, LLC

FIRST NEW YORK SECURITIES L.L.C.

BANC OF AMERICA SECURITIES LLC

AROS SECURITIES INC.

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

INTESA SANPAOLO IMI SECURITIES CORP.

SCHRODER & CO. INC.

CRESVALE INTERNATIONAL, INC.

CITICORP SCRIMGEOUR VICKERS INTERNATIONAL, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/18/2014

SIE

Date: 2/26/2018

Series 55

Date: 3/29/2000

Series 15

Date: 4/26/1989

Series 3

Date: 3/2/1988

Series 7

Date: 1/16/1988

Series 24

Date: 10/8/2014

Series 4

Date: 11/13/1987

Current Firm

AMTD FINANCIAL MARKETS (USA) LLC

Contact information

Documents

Direct owners and executive officers

Red Flags

Company Information

AMTD FINANCIAL MARKETS (USA) LLC

TRUST BUT VERIFY

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