John E. Lux
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.
John Ernst Lux was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1972. John had worked at 7 firms and has passed the Series 63, Series 7, Series 1, Series 53, Series 4, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 16, 1986 - July 27, 1994
LUX INVESTOR SERVICES CORPORATION
December 18, 1984 - May 28, 1985
DOUGLAS STEWART INCORPORATED
September 13, 1982 - January 1, 1985
JAMES J. DUANE & CO., INC.
May 26, 1982 - September 13, 1982
PHILIPS, APPEL & WALDEN, INC.
April 19, 1982 - April 26, 1982
PROFESSIONAL BROKERAGE SERVICES INC.
November 4, 1981 - November 4, 1981
PROFESSIONAL BROKERAGE SERVICES INC.
November 23, 1979 - January 3, 1982
MAHLER & EMERSON INC.
August 8, 1972 - October 8, 1972
COLIN, HOCHSTIN CO.
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 1
Date: 4/15/1968
Registered Representative ExaminationCurrent Firm
LUX INVESTOR SERVICES CORPORATION
CRD#: 18424 / SEC#: , 8-36646
Contact information
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
