Individual Firm
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JOSEPH JAMES FAUX
CRD#: 3245953
IA
B
MERIT FINANCIAL ADVISORSCRD#: 142457 Oaks Plaza 2350 E. Third Street
Suite 6
Williamsport, PA 17701
Suite 6
Williamsport, PA 17701
PURSHE KAPLAN STERLING INVESTMENTSCRD#: 35747 Oaks Plaza 2350 E. Third Street
Suite 6
Williamsport, PA 17701
Suite 6
Williamsport, PA 17701
View By:
6/8/2010
Customer Dispute
Settled
State Registrations
B
Alaska 8/16/2024
IA
Pennsylvania 5/22/2023
B
Florida 8/16/2024
B
Pennsylvania 8/16/2024
B
Louisiana 8/16/2024
B
South Carolina 8/16/2024
B
Michigan 8/16/2024
B
West Virginia 8/16/2024
B
New Jersey 10/9/2024
B
Wyoming 8/16/2024
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 5/22/2023
B
Registered with this firm since 8/16/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 05/19/2023 - 08/16/2024 | WILLIAMSPORT, PA | |
IA | 07/17/2020 - 05/23/2023 | williamsport, PA | |
B | 07/17/2020 - 05/23/2023 | williamsport, PA | |
IA | 01/14/2008 - 07/24/2020 | WILLIAMSPORT, PA | |
B | 01/01/2004 - 07/24/2020 | WILLIAMSPORT, PA | |
B | 10/11/1999 - 01/01/2004 | DES MOINES, IA |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.