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JB

Joshua Bubbs

Some features on this profile are disabled
CRD#: 4603825
JB

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 Bubbs, who also goes by Joshua Randal Bubbs, Joshua Randall Bubbs, Joshua Bubbs, Joshua R Bubbs, was a registered financial professional .

Joshua is a previously registered financial professional and started their career in finance in 2002. Joshua had worked at 7 firms and has passed the Series 63, Series 6TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joshua Randal Bubbs | Joshua Randall Bubbs | Joshua Bubbs | Joshua R Bubbs

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 24, 2019 - September 7, 2021

COMPASS DISTRIBUTORS, LLC

BD
CRD#: 172662
Hackensack, NJ
Past

August 25, 2017 - May 15, 2018

QUASAR DISTRIBUTORS, LLC

BD
CRD#: 103848
PORTLAND, ME
Past

March 25, 2017 - August 7, 2017

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
NEW YORK CITY, NY
Past

August 23, 2010 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
NEW YORK CITY, NY
Past

July 24, 2009 - December 31, 2009

THE LEADERS GROUP, INC.

BD
CRD#: 37157
SUMMIT, NJ
Past

May 17, 2006 - July 24, 2007

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
NEW YORK, NY
Past

December 19, 2002 - May 9, 2005

FRED ALGER & COMPANY, LLC

BD
CRD#: 5300
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/28/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/15/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/16/2002
General Securities Representative Examination

Current Firm

CD
COMPASS DISTRIBUTORS, LLC
COMPASS DISTRIBUTORS, LLC | FORESIDE SECURITIES, LLC

CRD#: 172662 / SEC#: , 8-69518

BD
Terminated by SEC on 12/13/2023
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 06/06/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
LA FOND, SUSAN LORENECHIEF COMPLIANCE OFFICER / VP / TREASURER4512785

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.

Company Information

COMPASS DISTRIBUTORS, LLC

CRD#: 172662

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