Anthony P. Valois
Professional summary
Anthony Peter Valois was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Anthony is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, Anthony had worked at 6 firms, which includes PHX FINANCIAL INC., WINDSOR STREET CAPITAL LP, GREAT EASTERN SECURITIES INC., SALOMON GREY FINANCIAL CORPORATION, JOSEPH GUNNAR & CO. LLC, J.W. BARCLAY & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 12, 2012 - April 11, 2018
PHX FINANCIAL, INC.
January 3, 2007 - June 12, 2012
WINDSOR STREET CAPITAL, LP
September 22, 2005 - January 9, 2007
GREAT EASTERN SECURITIES, INC.
February 28, 2001 - September 27, 2005
SALOMON GREY FINANCIAL CORPORATION
February 23, 2000 - March 9, 2001
JOSEPH GUNNAR & CO. LLC
February 4, 1998 - March 17, 2000
J.W. BARCLAY & CO., INC.
State Registrations and Notice Filings
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Exams
Current Firm
PHX FINANCIAL, INC.
CRD#: 144403 / SEC#: , 8-67653
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
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