Joshua D. Feldman
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 David Feldman, who also goes by Josh Feldman, was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 1999. Joshua had worked at 5 firms and has passed the Series 65, Series 63, Series 55, Series 7, Series 10, Series 9, Series 4 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
November 20, 2009 - January 23, 2013
PENSON FINANCIAL SERVICES, INC.
February 8, 2006 - December 20, 2007
PENSON FINANCIAL SERVICES, INC.
June 28, 2004 - January 6, 2006
HILLTOP SECURITIES INC.
June 28, 2004 - January 6, 2006
HILLTOP SECURITIES INC.
June 11, 2002 - June 28, 2004
MOMENTUM INDEPENDENT NETWORK INC.
June 7, 2002 - June 28, 2004
MOMENTUM INDEPENDENT NETWORK INC.
June 17, 1999 - November 2, 2001
MORGAN STANLEY DW INC.
March 17, 1999 - May 21, 1999
FOX & COMPANY INVESTMENTS INC.
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: 8/11/2004
Limited Representative-Equity Trader ExamCurrent Firm
PENSON FINANCIAL SERVICES, INC.
CRD#: 25866 / SEC#: , 8-42095
Contact information
Documents
Disclosures
| Regulatory Event | 23 |
| Arbitration | 10 |
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.
