John C. Moten
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 Charles Moten was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2000. John had worked at 8 firms and has passed the Series 65, Series 63, Series 7 and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 22, 2016 - April 7, 2020
BYW
June 26, 2009 - October 26, 2012
MACKAY SHIELDS LLC
November 24, 2008 - November 5, 2012
NYLIFE DISTRIBUTORS LLC
October 31, 2006 - July 16, 2007
FORESIDE DISTRIBUTION SOLUTIONS, LLC
October 4, 2006 - July 2, 2007
ROXBURY CAPITAL MANAGEMENT LLC
December 3, 2004 - October 31, 2005
IDS LIFE INSURANCE COMPANY
December 3, 2004 - October 31, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
November 8, 2000 - June 11, 2003
DEUTSCHE BANK SECURITIES 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 2
Date: 1/21/1992
Non-Member General Securities ExaminationCurrent Firm
BYW
CRD#: 168297 / SEC#: 801-118366
Contact information
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 113,185,371 |
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.
