Patrick J. Moran
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.
Patrick Joseph Moran was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1984. Patrick had worked at 8 firms and has passed the Series 65, Series 63, Series 7 and Series 15 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 5, 2005 - November 18, 2013
GOLDEN BENEFICIAL SECURITIES CORPORATION
July 13, 2004 - December 31, 2004
NT SECURITIES LLC
April 20, 2004 - December 31, 2020
P.J. MORAN & CO., INC.
September 19, 2000 - May 8, 2002
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
September 30, 1998 - May 6, 2002
FIRST OPTIONS OF CHICAGO, INC.
October 24, 1994 - September 30, 1998
LIT CLEARING SERVICES, INC.
October 22, 1992 - June 24, 1994
J.P. MORGAN SECURITIES LLC
June 4, 1991 - August 10, 1992
MESIROW FINANCIAL, INC.
May 22, 1984 - September 21, 1988
FIRST OPTIONS OF CHICAGO, 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
Series 15
Date: 12/5/1984
Foreign Currency Options ExaminationCurrent Firm
GOLDEN BENEFICIAL SECURITIES CORPORATION
CRD#: 48029 / SEC#: , 8-52010
Contact information
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
Red Flags
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