Joshua B. Gist
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 B Gist was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 2002. Joshua had worked at 5 firms and has passed the Series 66, Series 63 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 19, 2011 - June 7, 2012
AURIGA USA, LLC
May 8, 2007 - May 11, 2010
BOFA ADVISORS, LLC
March 20, 2007 - May 11, 2010
BOFA DISTRIBUTORS, INC.
July 6, 2004 - September 14, 2005
CANTOR FITZGERALD & CO.
March 12, 2003 - January 9, 2004
CANTOR FITZGERALD & CO.
May 15, 2002 - January 13, 2004
CANTOR FITZGERALD SECURITIES
State Registrations and Notice Filings
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Exams
Current Firm
AURIGA USA, LLC
CRD#: 121731 / SEC#: , 8-65441
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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