Gary L. Mosher
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.
Gary Lee Mosher was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1982. Gary had worked at 14 firms and has passed the Series 65, Series 63, Series 55, Series 15, Series 5, Series 7, Series 53, Series 27, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 14, 2003 - May 8, 2006
LACONIA CAPITAL CORPORATION
April 17, 2001 - November 5, 2002
THOMAS FLETCHER & COMPANY, INC.
September 28, 1998 - February 15, 2001
CANTONE RESEARCH INC.
October 29, 1997 - September 4, 1998
WILLIAM SCOTT & CO. L.L.C.
October 2, 1997 - October 29, 1997
AISCO TRADING, INC.
July 17, 1997 - November 8, 1997
DAIN RAUSCHER INCORPORATED
June 18, 1997 - July 3, 1997
WILLIAM SCOTT & CO. L.L.C.
August 18, 1995 - June 13, 1997
AMERICAN INVESTMENT SERVICES, INC.
May 23, 1994 - October 19, 1994
RODMAN & RENSHAW INC.
July 22, 1991 - May 23, 1994
GRUNTAL & CO., L.L.C.
June 26, 1989 - July 25, 1991
CIBC WORLD MARKETS CORP.
May 27, 1988 - July 3, 1989
KIDDER, PEABODY & CO. INCORPORATED
December 17, 1984 - June 1, 1988
J.P. MORGAN SECURITIES LLC
July 10, 1984 - January 10, 1985
ROONEY, PACE INC.
May 20, 1982 - July 18, 1984
BECKER PARIBAS INCORPORATED
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 55
Date: 7/23/1999
Limited Representative-Equity Trader ExamSeries 15
Date: 11/30/1982
Foreign Currency Options ExaminationSeries 5
Date: 9/17/1982
Interest Rate Options ExaminationCurrent Firm
LACONIA CAPITAL CORPORATION
CRD#: 104027 / SEC#: , 8-52510
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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