Joshua M. Luks
Professional summary
Joshua M Luks, who also goes by Josh Luks, Joshua M Luks, Joshua Micah Luks, is a registered financial professional currently at SAFRA SECURITIES LLC located in New York, New York.
Joshua is registered as a RR (Registered Representative) and started their career in finance in 2002. Joshua has worked at 5 firms and has passed the Series 63, Series 7TO, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joshua M Luks's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 19, 2024 - Present
SAFRA SECURITIES LLC
Office #1: 546 Fifth Ave, New York, NY 10036Office #2: 546 Fifth Avenue, New York, NY 10036September 29, 2023 - July 13, 2024
J.P. MORGAN SECURITIES LLC
August 31, 2023 - September 29, 2023
FIRST REPUBLIC SECURITIES COMPANY, LLC
November 27, 2019 - April 19, 2022
FIRST REPUBLIC SECURITIES COMPANY, LLC
May 28, 2008 - October 9, 2008
LEHMAN BROTHERS INC.
October 14, 2002 - March 18, 2008
GOLDMAN SACHS & CO. LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Series 7TO
Date: 11/25/2019
General Securities Representative ExaminationFINRA
Current Firm
SAFRA SECURITIES LLC
CRD#: 47873 / SEC#: , 8-51935
Contact information
FINRA licenses (45 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAFRA NATIONAL BANK OF NEW YORK | SOLE SHAREHOLDER | |
| BONFIM, CARLOS CESAR BERTACO | DIRECTOR | |
| COLOMBO, RAFAELO | DIRECTOR | 6054935 |
| DIBIASI, ANTHONY | FINOP | 6435706 |
| GRUNWALD, MARK STEVEN | DIRECTOR & PRESIDENT | 3262204 |
| JAVIER, SIGMUND PETER | DIRECTOR | 6002619 |
| MCCARTHY, GERARD THOMAS | CHIEF COMPLIANCE OFFICER | 3121615 |
| MORATO, SIMONI PASSOS | DIRECTOR | 5568481 |
| OSWALD, THOMAS FRANCIS | CHIEF OPERATIONS OFFICER/ PRINCIPAL OPERATIONS OFFICER | 1828798 |
| YOU, SANG MIN JIMMY | CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 6693855 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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