William J. Mooney
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.
William John Mooney was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1983. William had worked at 13 firms and has passed the Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 11, 1997 - November 3, 1997
MAIDSTONE FINANCIAL, INC.
April 9, 1996 - July 16, 1996
MEYERS POLLOCK ROBBINS, INC.
October 26, 1995 - January 17, 1996
BUTTONWOOD SECURITIES, INC.
March 16, 1994 - June 7, 1995
DUKE & CO., INC.
June 21, 1990 - March 8, 1994
STRATTON OAKMONT INC.
August 25, 1989 - July 19, 1990
PRUDENTIAL EQUITY GROUP, LLC
June 3, 1989 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
February 8, 1988 - June 3, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
January 29, 1988 - February 18, 1988
CIBC WORLD MARKETS CORP.
July 25, 1986 - February 18, 1988
L. F. ROTHSCHILD & CO. INCORPORATED
May 21, 1986 - August 5, 1986
RADFORD CAPITAL CORPORATION
March 14, 1985 - May 1, 1986
CARDELL & ASSOCIATES, INCORPORATED
May 5, 1983 - April 5, 1984
FORESTERS FINANCIAL SERVICES, INC.
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
Current Firm
MAIDSTONE FINANCIAL, INC.
CRD#: 31804 / SEC#: , 8-45556
Contact information
Documents
Red Flags
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