Larry A. Fox
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.
Larry Alan Fox, who also goes by Larry A Fox, was a registered financial professional .
Larry is a previously registered financial professional and started their career in finance in 1973. Larry had worked at 12 firms and has passed the SIE, Series 55 and PC exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 16, 2013 - July 29, 2015
NATIONAL SECURITIES CORPORATION
November 5, 2012 - October 23, 2013
AXIOM CAPITAL MANAGEMENT, INC.
June 20, 2011 - November 13, 2012
AEGIS CAPITAL CORP.
January 18, 2011 - June 21, 2011
EKN FINANCIAL SERVICES INC.
March 30, 2010 - January 19, 2011
LAMPERT CAPITAL MARKETS INC.
February 21, 2008 - March 12, 2010
CLEARVIEW TRADING ADVISORS, INC.
April 1, 2002 - February 5, 2008
EKN FINANCIAL SERVICES INC.
December 17, 2001 - February 28, 2002
J.P.R. CAPITAL CORP.
June 8, 2000 - September 10, 2001
GLEACHER & COMPANY SECURITIES, INC.
November 9, 1998 - June 21, 2000
SCHRODER & CO. INC.
July 1, 1998 - October 16, 1998
COWEN AND COMPANY
April 23, 1993 - July 1, 1998
FINANCIAL SQUARE PARTNERS
March 9, 1983 - March 31, 1993
SCHRODER & CO. INC.
November 8, 1973 - March 15, 1983
CIBC WORLD MARKETS CORP.
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: 2/29/2000
Limited Representative-Equity Trader ExamPC
Date: 9/1/1977
AMEX Put and Call ExamCurrent Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
