John C. Moses
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 Christopher Moses, who also goes by John Moses, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1989. John had worked at 6 firms and has passed the Series 63, SIE, Series 79 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
February 7, 2012 - November 5, 2015
COLONNADE SECURITIES LLC
February 8, 2006 - January 22, 2010
SECURITIES NETWORK LLC
August 27, 2004 - December 17, 2004
J.P. MORGAN SECURITIES INC.
January 15, 2004 - August 4, 2004
BANC ONE CAPITAL MARKETS, INC.
June 14, 1999 - April 11, 2003
DEUTSCHE BANK SECURITIES INC.
November 21, 1989 - June 14, 1999
DB ALEX. BROWN 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
COLONNADE SECURITIES LLC
CRD#: 144771 / SEC#: , 8-67673
Contact information
FINRA licenses (2 States and Territories)
Documents
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.
