Randall D. 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.
Randall David Moss, who also goes by Randy Moss, was a registered financial professional .
Randall is a previously registered financial professional and started their career in finance in 1987. Randall had worked at 16 firms and has passed the Series 63, Series 72, Series 79TO, SIE, Series 3 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
June 28, 2022 - February 20, 2024
LOOP CAPITAL MARKETS LLC
April 27, 2016 - May 20, 2022
VINING-SPARKS IBG, LLC
September 5, 2013 - March 6, 2015
OPPENHEIMER & CO. INC.
November 14, 2011 - April 12, 2013
CRT CAPITAL GROUP LLC
October 5, 2010 - October 3, 2011
COHEN & COMPANY CAPITAL MARKETS, LLC
August 31, 2010 - October 5, 2010
COHEN & COMPANY SECURITIES, LLC
September 22, 2008 - September 1, 2010
WILLIAM BLAIR
June 5, 2007 - August 14, 2008
CREDIT SUISSE SECURITIES (USA) LLC
June 19, 2006 - March 15, 2007
ABN AMRO INCORPORATED
October 3, 2005 - March 14, 2007
LASALLE FINANCIAL SERVICES, INC.
August 23, 2004 - October 5, 2005
ABN AMRO INCORPORATED
April 30, 2001 - July 15, 2004
BANC ONE CAPITAL MARKETS, INC.
September 25, 2000 - November 28, 2000
PRUDENTIAL EQUITY GROUP, LLC
September 26, 1995 - August 24, 2000
WELLS FARGO CLEARING SERVICES, LLC
May 21, 1990 - September 22, 1995
RODMAN & RENSHAW INC.
March 15, 1989 - March 13, 1990
DREXEL BURNHAM LAMBERT GOVERNMENT SECURITIES INC.
November 25, 1987 - March 13, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
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 72
Date: 1/2/2023
Government Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
LOOP CAPITAL MARKETS LLC
CRD#: 43098 / SEC#: , 8-50140
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 8 |
Red Flags
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