Joshua Van Dress Allegedly Engaged in an Outside Business

Joshua Van Dress (CRD #: 2443983) has been terminated by Paulson Investment Company. This disclosure appears on his BrokerCheck record, accessed on May 7, 2024. Investors may also have engaged his services through Helios Capital Advisors. 

Employment Separation After Allegations 

On April 12, 2024, Paulson Investment Company fired Joshua Van Dress following allegations that he was involved in an outside business activity for which he did not obtain prior written approval as required. 

There are no outside businesses reported on Joshua Van Dress’s detailed BrokerCheck record. 

Outside Business and Selling Away

FINRA Rule 3270 requires brokers to inform their firm of any outside business activities or any investments sold away from the firm. The brokerage firm may prohibit the activity if the firm believes the proposed activity may compromise the broker’s duties. Firms may also require brokers to seek approval of any outside business.

Background Information 

Joshua Van Dress has passed the following exams: 

• Series 65 Uniform Investment Adviser Law Examination 
• Series 63 Uniform Securities Agent State Law Examination 
• SIE – Securities Industry Essentials Examination 
• Series 7 General Securities Representative Examination 

During his 24 years of experience, Joshua Van Dress has registered with 12 firms. These are the five most recent: 

• Paulson Investment Company (CRD #: 5670) 
• NYLife Securities (CRD #: 5167) 
• Four Points Capital Partners (CRD #: 43149) 
• International Assets Advisory (CRD #: 10645) 
• Spartan Capital Securities (CRD #: 146251) 

Kurta Law Can Help 

If you have worked with Joshua Van Dress and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.