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Detailed Report
HERBERT VOSS JR.
HERBERT EDWIN VOSS JR, HERBERT EDWIN VOSS
CRD#: 1014475
IA
Previous Investment Adviser
B
Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
19982000200220042006200820102012201420162018IASTOCKCROSS FINANCIAL SERVICES (CRD# 6670)2009 - 2018 (8 years)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)1999 - 2009 (9 years)
Disclosure(s)
View By:
5/23/2018
Regulatory
Final
5/23/2018
Employment Separation After Allegations
12/15/2017
Customer Dispute
Pending
2/3/2017
Customer Dispute
Settled
4/22/2011
Customer Dispute
Denied
4/1/2010
Customer Dispute
Settled
1/8/2002
Customer Dispute
Denied
8/17/1999
Customer Dispute
Settled
8/13/1998
Customer Dispute
Closed-No Action
5/11/1998
Customer Dispute
Closed-No Action
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 07/07/2009 - 05/30/2018 STOCKCROSS FINANCIAL SERVICES (CRD#:6670) BEVERLY HILLS, CA
IA
 10/13/1999 - 07/23/2009 UBS FINANCIAL SERVICES INC. (CRD#:8174) PASADENA, CA
For additional information about investment advisers or broker-dealers, please visit
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B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.