Betty A. Moon
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.
Betty Ann Moon, who also goes by Betty Ann Osiecki, Osiecki, was a registered financial professional .
Betty is a previously registered financial professional and started their career in finance in 1988. Betty had worked at 12 firms and has passed the Series 63, SIE, Series 7 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
February 21, 2015 - August 20, 2016
TOBIN & COMPANY SECURITIES LLC
June 3, 2011 - May 3, 2013
PNC WEALTH MANAGEMENT LLC
March 13, 2002 - September 13, 2006
NATCITY INVESTMENTS, INC.
May 18, 2001 - February 25, 2002
FIFTH THIRD SECURITIES, INC.
February 13, 1995 - May 11, 2001
THE HUNTINGTON INVESTMENT COMPANY
July 2, 1992 - March 9, 1994
IFMG SECURITIES, INC.
October 1, 1991 - July 9, 1992
LINCOLN FINANCIAL DISTRIBUTORS, INC.
November 1, 1990 - October 16, 1991
FUNDMARK INVESTMENT COMPANY SERVICES, INC.
August 28, 1990 - April 25, 1991
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
January 12, 1989 - August 16, 1990
PAMCO SECURITIES AND INSURANCE SERVICES
November 15, 1988 - January 14, 1989
MAIN STREET MANAGEMENT COMPANY
March 22, 1988 - November 21, 1988
MUTUAL SERVICE 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
TOBIN & COMPANY SECURITIES LLC
CRD#: 137918 / SEC#: , 8-67134
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TOBIN & COMPANY INVESTMENT BANKING GROUP LLC | PARENT COMPANY | |
| TOBIN, JUSTINE EIDT | CHIEF COMPLIANCE OFFICER | 1641345 |
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.
