Russell H. Moss
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.
Russell Howard Moss was a registered financial professional .
Russell is a previously registered financial professional and started their career in finance in 1983. Russell had worked at 6 firms and has passed the Series 6 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 29, 1999 - June 5, 2006
DAVID LERNER ASSOCIATES, INC.
February 24, 1997 - November 23, 1999
FISERV INVESTOR SERVICES, INC.
March 26, 1996 - January 27, 1997
CONSECO SECURITIES, INC.
March 13, 1995 - December 31, 1995
CONSECO SECURITIES, INC.
August 26, 1991 - December 9, 1993
GUARDIAN INVESTOR SERVICES LLC
October 24, 1990 - September 12, 1991
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
October 24, 1990 - September 12, 1991
SIGNATOR INVESTORS, INC.
May 31, 1988 - January 10, 1990
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
May 31, 1988 - January 10, 1990
SIGNATOR INVESTORS, INC.
May 21, 1985 - June 16, 1987
SIGNATOR INVESTORS, INC.
July 27, 1983 - January 10, 1990
SIGNATOR INVESTORS, 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
DAVID LERNER ASSOCIATES, INC.
CRD#: 5397 / SEC#: , 8-20746
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 22 |
| Arbitration | 19 |
Red Flags
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