Sheldon B. Fox
Professional summary
Sheldon Bruce Fox was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Sheldon is a previously registered financial professional and started their career in finance in 1975. Prior to being barred, Sheldon had worked at 12 firms, which includes WESTROCK ADVISORS INC., USALLIANZ SECURITIES INC., INVESTORS CAPITAL CORP., WORLD INVESTMENTS LLC, VOYA FINANCIAL ADVISORS INC., OSAIC FS INC., FOCUS SECURITIES INC., MONARCH INVESTMENTS INC., STUART STONE & CO. LLC, CARDELL & ASSOCIATES INCORPORATED, GUARDIAN INVESTOR SERVICES LLC, HIMCO DISTRIBUTION SERVICES COMPANY.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 17, 2005 - July 5, 2005
WESTROCK ADVISORS, INC.
December 1, 2004 - January 5, 2005
USALLIANZ SECURITIES, INC.
February 5, 2001 - November 12, 2004
INVESTORS CAPITAL CORP.
August 4, 1997 - February 8, 2001
WORLD INVESTMENTS, LLC
February 16, 1996 - August 4, 1997
VOYA FINANCIAL ADVISORS, INC.
April 5, 1993 - February 16, 1996
OSAIC FS, INC.
May 19, 1988 - April 8, 1993
WORLD INVESTMENTS, LLC
January 22, 1988 - May 23, 1988
FOCUS SECURITIES, INC.
July 24, 1987 - February 9, 1988
MONARCH INVESTMENTS INC.
January 2, 1987 - July 23, 1987
STUART STONE & CO., LLC
November 22, 1985 - January 1, 1987
FOCUS SECURITIES, INC.
October 11, 1983 - December 13, 1985
CARDELL & ASSOCIATES, INCORPORATED
May 17, 1982 - October 6, 1983
OSAIC FS, INC.
February 16, 1977 - June 3, 1982
GUARDIAN INVESTOR SERVICES LLC
October 28, 1975 - October 7, 1976
HIMCO DISTRIBUTION SERVICES COMPANY
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 1
Date: 10/21/1975
Registered Representative ExaminationCurrent Firm
WESTROCK ADVISORS, INC.
CRD#: 114338 / SEC#: , 8-53419
Contact information
Documents
Disclosures
| Regulatory Event | 13 |
| Arbitration | 9 |
Red Flags
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