John G. 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.
John Guthrie Moss was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1988. John had worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 8 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
October 27, 2016 - August 29, 2019
RPATA, LLC
July 13, 2015 - August 29, 2019
REVOLUTION PARTNERS, LLC
February 13, 2013 - July 13, 2015
RAYMOND JAMES & ASSOCIATES, INC.
February 13, 2013 - July 13, 2015
RAYMOND JAMES & ASSOCIATES, INC.
March 22, 2004 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
February 23, 1988 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
Primary Firm SEC Registration
RPATA, LLC
CRD#: 285598 / SEC#: 801-125001
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 8
Date: 1/9/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
RPATA, LLC
CRD#: 285598 / SEC#: 801-125001
Contact information
SEC notice filing (3 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 355 |
| AUM (Assets Under Management) | $ 67,633,000 |
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.
