Richard O. Moogan
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Owen Moogan, who also goes by Rich Moogan, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1982. Richard had worked at 10 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 10, Series 9, Series 27, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2015 - May 5, 2023
COHEN & COMPANY SECURITIES, LLC
March 30, 2012 - November 7, 2014
BNY MELLON CAPITAL MARKETS, LLC
January 5, 2009 - April 3, 2012
PERSHING LLC
May 18, 2001 - March 13, 2008
LASALLE FINANCIAL SERVICES, INC.
May 12, 1998 - July 2, 2001
ABN AMRO INCORPORATED
May 1, 1996 - May 27, 1998
LASALLE FINANCIAL SERVICES, INC.
March 20, 1995 - March 29, 1996
DAVID LERNER ASSOCIATES, INC.
August 17, 1994 - April 4, 1995
LASALLE FINANCIAL SERVICES, INC.
April 12, 1989 - April 25, 1994
AVM, L.P.
March 1, 1988 - January 30, 1989
DAVID LERNER ASSOCIATES, INC.
December 11, 1984 - July 31, 1987
TMA GOVERNMENT SECURITIES, LTD.
December 1, 1982 - December 12, 1983
BUTCHER & SINGER INC.
January 19, 1982 - December 22, 1982
SECURITIES SETTLEMENT CORPORATION
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 8
Date: 6/22/1983
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
COHEN & COMPANY SECURITIES, LLC
CRD#: 149758 / SEC#: , 8-68186
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 6 |
Red Flags
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