Joshua C. Adam
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 Chaim Adam, who also goes by Josh Chaim Adam, Joshua C Adam, was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 2001. Joshua had worked at 3 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 18, 2021 - February 23, 2021
OLD CITY SECURITIES LLC
June 2, 2003 - June 10, 2003
FIRST NEW YORK SECURITIES L.L.C.
October 4, 2001 - January 30, 2003
GOLDMAN SACHS & CO. LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 1/18/2021
General Securities Representative ExaminationCurrent Firm
OLD CITY SECURITIES LLC
CRD#: 171910 / SEC#: , 8-69488
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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