Joshua J. 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.
Joshua Jay Fox, who also goes by Josh Fox, Joshua J Fox, was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 1997. Joshua had worked at 6 firms and has passed the Series 63, Series 79TO, SIE, 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
May 22, 2019 - March 11, 2022
MONTMINY SECURITIES, LLC
June 25, 2015 - May 17, 2019
STOUT CAPITAL, LLC
March 26, 2014 - September 22, 2015
MONTMINY SECURITIES, LLC
May 23, 2005 - November 16, 2012
HOULIHAN LOKEY CAPITAL, INC.
August 22, 2002 - August 25, 2004
BURLINGTON CAPITAL MARKETS INC.
May 7, 2001 - February 26, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 16, 1997 - May 20, 1999
DRESDNER KLEINWORT WASSERSTEIN, LLC
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
MONTMINY SECURITIES, LLC
CRD#: 158368 / SEC#: , 8-68893
Contact information
FINRA licenses (2 States and Territories)
Documents
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.
