Joshua D. Spitz
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 Spitz was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 2004. Joshua had worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 55, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 29, 2021 - December 21, 2021
JP DERIVATIVES, LLC
December 10, 2013 - October 10, 2019
WELLS FARGO SECURITIES, LLC
September 20, 2012 - November 19, 2013
BNP PARIBAS SECURITIES CORP.
September 22, 2008 - July 3, 2012
BARCLAYS CAPITAL INC.
October 11, 2004 - September 22, 2008
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 4/15/2006
Limited Representative-Equity Trader ExamCurrent Firm
JP DERIVATIVES, LLC
CRD#: 284131 / SEC#: , 8-69788
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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