 |
C. Curtis Fox, Senior Vice President and Director of Compliance
|
|
Curt
Fox received his Series 7 registration in 1983 and his Branch Office
Manager license in 1986. Since then, he has been a retail broker and
branch office manager for New York Stock Exchange Members Baker, Watts
& Co., and Johnston, Lemon & Co., Inc. |
| |
As
a retail broker, in addition to advising individuals, Curt developed
a profitable institutional banking business consisting of fixed income
sales to community banks, as well as the capability of arranging equity
financing for them. |
| |
In
1993, he started his own business as the owner of a branch office
affiliated with an independent NASD broker/dealer. Having developed
an early interest in the Internet, Curt spent considerable time investigating
various programs and systems that showed promise of usefulness to
independent brokers. He joined Lombard Securities as Branch Manager
in 1997, and subsequently became Associate Director of Compliance.
He was promoted to Compliance Director in October 2000. He is a member
numerous indsutry compliance organizations. |
|
 
 |
