Joshua S. Curtis

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CRD#: 6662061

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 Steve Curtis, who also goes by Josh Curtis, Joshua Steve Curtis, Joshua Curtis, was a registered financial professional .

Joshua is a previously registered financial professional and started their career in finance in 2018. Joshua had worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Josh Curtis | Joshua Steve Curtis | Joshua Curtis

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.

Business, insurance, and tax consulting. Insurance brokerage.

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

September 18, 2023 - February 12, 2024

SPHINX INVESTMENTS LLC

RIA

CRD#: 327836

LEWES, DE

Past

May 20, 2021 - January 13, 2025

FOUNDATIONS INVESTMENT ADVISORS LLC

RIA

CRD#: 175083

MIDLOTHIAN, VA

Past

January 13, 2020 - May 17, 2021

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

Richmond, VA

Past

October 8, 2019 - May 17, 2021

MML INVESTORS SERVICES, LLC

CRD#: 10409

Richmond, VA

Past

February 19, 2018 - October 3, 2019

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

RICHMOND, VA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SPHINX INVESTMENTS LLC

CRD#: 327836 / SEC#: 801-130184

RIA

Registered Investment Advisory firm - (5/1/2024 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/15/2019

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/14/2018

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/3/2024

General Securities Representative Examination

General Industry/Product Exam

Series 6TO

Date: 3/3/2024

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 2/19/2018

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SPHINX INVESTMENTS LLC

CRD#: 327836 / SEC#: 801-130184

RIA

Registered Investment Advisory firm - (5/1/2024 Approved)

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Contact information

Main Address

919 East Main Street Suite 1000, Richmond, VA 23219

Mailing Address

Phone number

(833) 247-7833

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SPHINX INVESTMENTS LLC PART 2A BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	305
AUM (Assets Under Management)	$ 64,740,000

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.

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Advisor Monitoring

Firm Stability Insights

Joshua S. Curtis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FOUNDATIONS INVESTMENT ADVISORS LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

SPHINX INVESTMENTS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/15/2019

Series 63

Date: 3/14/2018

Series 7TO

Date: 3/3/2024

Series 6TO

Date: 3/3/2024

SIE

Date: 10/1/2018

Series 6

Date: 2/19/2018

Current Firm

SPHINX INVESTMENTS LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SPHINX INVESTMENTS LLC

TRUST BUT VERIFY

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