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Ivan D. Self

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CRD#: 1982527
IS

Professional summary

Ivan Darnell Self was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Ivan is a previously registered financial professional and started their career in finance in 1989. Prior to being barred, Ivan had worked at 11 firms, which includes FOX & COMPANY INVESTMENTS INC., AMERICAN FRONTEER FINANCIAL CORPORATION, BARRON CHASE SECURITIES INC., GLOBALCOMM SECURITIES INC., ARGENT SECURITIES INC., IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC, SECURITIES AMERICA INC., THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES, EQUITABLE ADVISORS LLC, J. W. GANT & ASSOCIATES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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

September 12, 1997 - March 2, 1998

FOX & COMPANY INVESTMENTS INC.

BD
CRD#: 18517
SCOTTSDALE, AZ
Past

January 13, 1997 - August 18, 1997

AMERICAN FRONTEER FINANCIAL CORPORATION

BD
CRD#: 1398
DENVER, CO
Past

September 3, 1996 - November 21, 1996

BARRON CHASE SECURITIES, INC.

BD
CRD#: 18969
BOCA RATON, FL
Past

January 15, 1996 - August 14, 1996

GLOBALCOMM SECURITIES, INC.

BD
CRD#: 13228
Past

October 9, 1995 - January 2, 1996

ARGENT SECURITIES, INC.

BD
CRD#: 15297
ATLANTA, GA
Past

July 14, 1993 - September 13, 1995

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

July 14, 1993 - September 13, 1995

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN
Past

February 23, 1993 - July 12, 1993

SECURITIES AMERICA, INC.

BD
CRD#: 10205
LAVISTA, NE
Past

April 12, 1990 - February 28, 1991

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039
NEW YORK, NY
Past

April 12, 1990 - February 28, 1991

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY
Past

October 25, 1989 - January 24, 1990

J. W. GANT & ASSOCIATES, INC.

BD
CRD#: 7963

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
RR
Series 63
Date: 6/14/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/21/1989
General Securities Representative Examination

Current Firm

F&
FOX & COMPANY INVESTMENTS INC.
FOX & COMPANY | FOX & COMPANY INVESTMENTS INC.

CRD#: 18517 / SEC#: , 8-37061

BD
Terminated by SEC on 05/10/2009
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Contact information

Main Address
Mailing Address
Phone number
Established
Arizona since 09/11/1985
Firm type
Corporation
Fiscal year end
June
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MOLDERMAKER, JAMES WILFREDOWNER858894
ALOI, STEPHEN ROBERT IICHIEF COMPLIANCE OFFICER3873
SULLIVAN, JAMES CHESTERROSFP804918
TRASK, ROBERT JAMESCHIEF FINANCIAL OFFICER2509073

Disclosures

Regulatory Event11
Arbitration6

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

FOX & COMPANY INVESTMENTS INC.

CRD#: 18517

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