Joseph P. Froschauer
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.
Joseph Paul Froschauer, who also goes by Joe Froschauer, Joseph Pau Froschauer, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1993. Joseph had worked at 6 firms and has passed the Series 63, SIE, Series 55, Series 3, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 26, 2017 - November 3, 2017
GREENLEYS CAPITAL MARKETS LLP
December 4, 2012 - July 18, 2016
INSTINET, LLC
December 1, 2008 - December 3, 2012
NOMURA SECURITIES INTERNATIONAL, INC.
September 22, 2008 - December 10, 2008
BARCLAYS CAPITAL INC.
March 2, 2007 - September 22, 2008
LEHMAN BROTHERS INC.
April 13, 1993 - March 16, 2007
GOLDMAN SACHS & CO. 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 55
Date: 7/30/2005
Limited Representative-Equity Trader ExamCurrent Firm
GREENLEYS CAPITAL MARKETS LLP
CRD#: 168558 / SEC#: , 8-69319
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
