Ronald Moschetta
Professional summary
Ronald Moschetta was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Ronald is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Ronald had worked at 17 firms, which includes TODD AND COMPANY INC., STRASBOURGER PEARSON TULCIN WOLFF INCORPORATED, NYPPEX LLC, COMMONWEALTH ASSOCIATES, CITIGROUP GLOBAL MARKETS INC., LEHMAN BROTHERS INC., ADVEST INC., GRUNTAL & CO. L.L.C., BERKELEY SECURITIES CORPORATION, CIBC WORLD MARKETS CORP., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, EQUITIES INTERNATIONAL SECURITIES INC., YORK SECURITIES INC., HAAS SECURITIES CORPORATION, AMFCO SECURITIES INC., JSC SECURITIES INC., MARSAN SECURITIES CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 4, 2009 - September 17, 2010
TODD AND COMPANY, INC.
November 1, 2001 - September 10, 2009
STRASBOURGER PEARSON TULCIN WOLFF INCORPORATED
February 23, 2001 - October 15, 2001
NYPPEX, LLC
May 8, 1995 - January 31, 2001
COMMONWEALTH ASSOCIATES
July 31, 1993 - May 11, 1995
CITIGROUP GLOBAL MARKETS INC.
September 17, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
August 16, 1990 - September 28, 1992
ADVEST, INC.
December 23, 1988 - July 5, 1990
GRUNTAL & CO., L.L.C.
August 25, 1988 - December 22, 1988
BERKELEY SECURITIES CORPORATION
January 11, 1988 - September 20, 1988
CIBC WORLD MARKETS CORP.
June 24, 1986 - January 1, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 7, 1985 - May 8, 1986
EQUITIES INTERNATIONAL SECURITIES, INC.
October 30, 1984 - July 1, 1985
YORK SECURITIES, INC.
May 2, 1984 - November 2, 1984
HAAS SECURITIES CORPORATION
October 20, 1983 - April 24, 1984
AMFCO SECURITIES, INC.
July 6, 1983 - September 16, 1983
JSC SECURITIES, INC.
March 1, 1983 - June 27, 1983
MARSAN SECURITIES CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TODD AND COMPANY, INC.
CRD#: 5651 / SEC#: , 8-16328
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STARINVEST GROUP, INC. | OWNER | |
| ELLISON, WAYNE ARTHUR | CCO | 1454652 |
Disclosures
| Regulatory Event | 6 |
| Civil Event | 1 |
Red Flags
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