Thomas A. Moritz
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.
Thomas Andrew Moritz was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1988. Thomas had worked at 10 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 11, 2016 - April 11, 2022
PANTHEON INVESTMENT GROUP, LLC
January 7, 2014 - June 15, 2016
CLIFFORD SWAN INVESTMENT COUNSELORS
November 25, 2013 - January 6, 2014
D.A. DAVIDSON & CO.
November 25, 2013 - January 6, 2014
D.A. DAVIDSON & CO.
November 4, 2013 - November 25, 2013
CROWELL WEEDON & CO.
November 4, 2013 - November 25, 2013
CROWELL WEEDON & CO.
April 25, 2006 - November 4, 2013
CROWELL, WEEDON & CO.
April 25, 2006 - November 4, 2013
CROWELL, WEEDON & CO.
May 16, 2005 - April 5, 2006
PRUDENTIAL EQUITY GROUP, LLC
June 7, 2001 - January 31, 2005
CREDIT SUISSE SECURITIES (USA) LLC
October 19, 1993 - January 12, 2000
J.P. MORGAN SECURITIES LLC
August 29, 1988 - April 27, 1989
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
August 29, 1988 - April 27, 1989
EQUITABLE ADVISORS, LLC
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
PANTHEON INVESTMENT GROUP, LLC
CRD#: 283418 / SEC#: 801-112518
Contact information
Regulatory assets under management
| Total Number of Accounts | 231 |
| AUM (Assets Under Management) | $ 144,426,229 |
Red Flags
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