Marshall A. Moonin
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.
Marshall Alan Moonin was a registered financial professional .
Marshall is a previously registered financial professional and started their career in finance in 1984. Marshall had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 18, 2014 - April 27, 2016
NATIONAL SECURITIES CORPORATION
January 21, 2014 - December 5, 2014
FIRST ALLIED ADVISORY SERVICES, INC.
January 2, 2014 - November 7, 2014
FIRST ALLIED SECURITIES, INC.
November 9, 2007 - January 2, 2014
SANCTUARY SECURITIES, INC.
April 8, 2002 - January 2, 2014
SANCTUARY SECURITIES, INC.
November 23, 1985 - April 9, 2002
PRUDENTIAL EQUITY GROUP, LLC
June 20, 1984 - November 1, 1985
MORGAN STANLEY DW 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
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
