Timothy J. Moran
Professional summary
Timothy James Moran was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Timothy is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, Timothy had worked at 5 firms, which includes MONY SECURITIES CORPORATION, GLEACHER & COMPANY SECURITIES INC., CITICORP FINANCIAL SERVICESINC., CITICORP INVESTMENT SERVICES, THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 27, 1999 - June 26, 2000
MONY SECURITIES CORPORATION
February 17, 1994 - June 29, 1999
GLEACHER & COMPANY SECURITIES, INC.
August 13, 1991 - June 1, 1992
CITICORP FINANCIAL SERVICES,INC.
July 29, 1991 - February 18, 1994
CITICORP INVESTMENT SERVICES
March 8, 1988 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
March 4, 1988 - August 8, 1991
MONY SECURITIES CORPORATION
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
MONY SECURITIES CORPORATION
CRD#: 4386 / SEC#: , 8-15287
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MONY FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| BLITZ, HARVEY EUGENE | DIRECTOR | |
| COOLEY, JILL DIANE | CHIEF OPERATING OFFICER; DIRECTOR | 4251752 |
| DANE, EDWARD HAMBLETON | PRESIDENT; DIRECTOR | 2261769 |
| DZIADZIO, RICHARD | DIRECTOR | 4362519 |
| GODOFSKY, MARK DAVID | FINANCIAL PRINCIPAL | 2882741 |
| JONES, ROBERT SEYMOUR JR | DIRECTOR | 261712 |
| ODONNELL, LESLIE TANNER | AML COMPLIANCE OFFICER | 2189109 |
| OLSON, ANTHONY PAUL | CHIEF COMPLIANCE OFFICER | 801048 |
| WRIGHT, ROBERT OAKLEY JR | CHAIRMAN OF THE BOARD; DIRECTOR | 1620043 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
Red Flags
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