Gerard I. 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.
Gerard Ian Fox was a registered financial professional .
Gerard is a previously registered financial professional and started their career in finance in 1991. Gerard had worked at 3 firms and has passed the Series 3 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 11, 2013 - May 24, 2018
ARBOR RESEARCH & TRADING, LLC
February 24, 1995 - November 6, 1996
NATWEST MARKETS SECURITIES INC.
March 13, 1991 - February 21, 1992
HSBC SECURITIES (USA) 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
Current Firm
ARBOR RESEARCH & TRADING, LLC
CRD#: 21313 / SEC#: , 8-38818
Contact information
FINRA licenses (18 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ARBOR RESEARCH HOLDINGS, LLC | OWNER | |
| HANDLER, FRED DAVID JR | CHIEF EXECUTIVE OFFICER & DIRECTOR | 1278354 |
| LUSTIG, DANIEL JAY | EXECUTIVE VICE PRESIDENT | 1496662 |
| MCELWREATH, EDWARD THOMAS | EXECUTIVE VICE PRESIDENT | 1111324 |
| MOISE, MICHAEL PAUL | PRESIDENT, FINOP & DIRECTOR | 5910037 |
| MOISE, MICHAEL PAUL | CHIEF COMPLIANCE OFFICER | 5910037 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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