Joshua I. Forman
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 Isaac Forman was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 2014. Joshua had worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 55 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
June 21, 2018 - June 9, 2021
GREAT POINT CAPITAL LLC
July 15, 2016 - October 31, 2016
T3 TRADING GROUP, LLC
August 19, 2015 - July 7, 2016
SEVEN POINTS CAPITAL, LLC
February 19, 2015 - April 24, 2015
SOVEREIGN GLOBAL ADVISORS LLC
June 24, 2014 - September 3, 2014
AEGIS CAPITAL CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 12/18/2015
Limited Representative-Equity Trader ExamCurrent Firm
GREAT POINT CAPITAL LLC
CRD#: 114203 / SEC#: , 8-53402
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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